SEC Form 4 · accession 0001603582-19-000001
Resonant Inc · RESN
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
George B Holmes
Officer — Chief Executive Officer · Director
Period of report
Jan 2, 2019
Accepted (ET)
Jan 4, 2019 · 9:20 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 2, 2019 | M | 9,000 | — | A | 293,668 | D | |
| Common StockF1 | Jan 2, 2019 | M | 2,639 | — | A | 296,307 | D | |
| Common StockF1 | Jan 2, 2019 | M | 2,496 | — | A | 298,803 | 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 | — | Jan 2, 2019 | M | 9,000 | D | — | — | Common Stock | 9,000 | 36,000 | D |
| Restricted Stock UnitsF1,F3 | — | Jan 2, 2019 | M | 2,639 | D | — | — | Common Stock | 2,639 | 10,557 | D |
| Restricted Stock UnitsF1,F4 | — | Jan 2, 2019 | M | 2,496 | D | — | — | Common Stock | 2,496 | 9,984 | D |
Explanation of responses
- F1Each restricted stock unit represents a contingent right to receive one share of Resonant common stock.
- F227,000 shares vested on each of July 1, 2016, October 1, 2016 and January 1, 2017, and 9,000 shares will vest on the first business day of each subsequent calendar quarter, commencing April 1, 2017, until fully vested.
- F37,917 shares vested 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.
- F422,465 shares vested on October 4, 2016, 7,489 shares vested on January 1, 2017, and 2,496 shares will vest on the first business day of each subsequent calendar quarter, commencing April 1, 2017, until fully vested.