SEC Form 4 · accession 0001114331-18-000002
Resonant Inc · RESN
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Robert B Hammond
Officer — Chief Technology Officer · Director
Period of report
Jan 17, 2018
Accepted (ET)
Jan 18, 2018 · 1:34 pm EST
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 | Jan 17, 2018 | A | 40,485 | — | A | 410,677 | D | |
| Common StockF2 | Jan 17, 2018 | A | 40,486 | — | A | 451,163 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Warrant to Purchase Common StockF1 | $0.20 | Jan 17, 2018 | D | 41,666 | D | Jun 17, 2013 | Jan 31, 2018 | Common Stock | 41,666 | 0 | D |
| Warrant to Purchase Common StockF2 | $0.20 | Jan 17, 2018 | D | 41,667 | D | Jun 17, 2013 | Mar 19, 2018 | Common Stock | 41,667 | 0 | D |
Explanation of responses
- F1On January 17, 2018, pursuant to an exchange agreement with the Issuer, the Reporting Person disposed of the warrant to purchase 41,666 shares of common stock of the Issuer in exchange for an aggregate of 40,485 shares of the Issuer's common stock.
- F2On January 17, 2018, pursuant to an exchange agreement with the Issuer, the Reporting Person disposed of the warrant to purchase 41,667 shares of common stock of the Issuer in exchange for an aggregate of 40,486 shares of the Issuer's common stock.