SEC Form 4 · accession 0001104659-17-038010
Resonant Inc · RESN
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
A later amendment supersedes this filing — read the amendment. The figures below are kept as originally reported (version chain, not an overwrite).
Reporting owner
John E Major
Director
Period of report
Jun 5, 2017
Accepted (ET)
Jun 7, 2017 · 9:38 pm EDT
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001579910
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common StockF1 | Jun 5, 2017 | M | 6,297 | — | A | 73,358 | D | |
| Common StockF1 | Jun 5, 2017 | M | 3,263 | — | A | 76,621 | D | |
| Common StockF1 | Jun 5, 2017 | M | 8,950 | — | A | 85,571 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Restricted Stock UnitsF1,F2 | — | Jun 5, 2017 | M | 6,297 | D | — | — | Common Stock | 6,297 | 0 | D |
| Restricted Stock UnitsF1,F2 | — | Jun 5, 2017 | M | 3,263 | D | — | — | Common Stock | 3,263 | 0 | D |
| Restricted Stock UnitsF1,F3 | — | Jun 5, 2017 | M | 8,950 | D | — | — | Common Stock | 8,950 | 8,950 | D |
| Restricted Stock UnitsF1,F4 | — | Jun 6, 2017 | A | 17,361 | A | — | — | Common Stock | 17,361 | 17,361 | D |
Explanation of responses
- F1Each restricted stock unit represents a contingent right to receive one share of Resonant Inc. common stock.
- F250% of the shares vested on each of June 6, 2016 and June 5, 2017.
- F350% of the shares vested on June 5, 2017, and 50% of the shares shall vest on the earlier of (i) the day prior to the second annual meeting of stockholders following the grant and (ii) June 7, 2018.
- F450% of the shares shall vest on the earlier of (i) the day prior to the first annual meeting of stockholders following the grant and (ii) June 6, 2018, and 50% of the shares shall vest on the earlier of (i) the day prior to the second annual meeting of stockholders following the grant and (ii) June 6, 2019.
Remarks
Exhibit 24 Power of Attorney filed herewith.