SEC Form 4 · accession 0001603582-16-000003
Resonant Inc · RESN
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
George B Holmes
Officer — Pres/Chief Commercial Officer · Director
Period of report
Apr 25, 2016
Accepted (ET)
Apr 26, 2016 · 9:21 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 | Apr 25, 2016 | P | 8,300 | $2.985 | A | 35,300 | D | |
| Common Stock | Apr 25, 2016 | A | 7,917 | $0.00 | A | 43,217 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Common Stock Warrants (Right to Buy)F1 | $2.86 | Apr 25, 2016 | P | 8,300 | A | Oct 25, 2016 | Apr 25, 2019 | Common Stock | 8,300 | 8,300 | D |
| Restricted Stock UnitsF2,F3 | — | Apr 25, 2016 | A | 55,420 | A | — | — | Common Stock | 55,420 | 55,420 | D |
Explanation of responses
- F1The reported securities are included within the units purchased by the reporting person for $2.985 per unit. Each unit consists of one share of common stock and one warrant to purchase one share of common stock.
- F2Each restricted stock unit represents a contingent right to receive one share of Resonant Inc. common stock.
- F37,917 shares will vest on each of July 1, 2016, October 1, 2016 and January 1, 2017, and 2,639 shares will vest on the first business day of each subsequent calendar quarter, commencing April 1, 2017, until fully vested.