SEC Form 4 · accession 0001646411-16-000004
Resonant Inc · RESN
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Thomas R Joseph
Director
Period of report
Jul 6, 2016
Accepted (ET)
Jul 8, 2016 · 1:37 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 | Jul 6, 2016 | M | 12,000 | — | A | 12,000 | 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 | — | Jul 6, 2016 | M | 12,000 | D | — | — | Common Stock | 12,000 | 12,000 | D |
Explanation of responses
- F1Each restricted stock unit represents a contingent right to receive one share of Resonant Inc. common stock.
- F2One-half of the shares vested on July 6, 2016, and one-half of the shares shall vest on July 6, 2017 subject to continued service as a director through the vesting date.