SEC Form 4 · accession 0001646411-17-000003
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, 2017
Accepted (ET)
Jul 6, 2017 · 7:42 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, 2017 | M | 12,000 | — | A | 29,967 | 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, 2017 | M | 12,000 | D | — | — | Common Stock | 12,000 | 0 | D |
Explanation of responses
- F1Each restricted stock unit represents a contingent right to receive one share of Resonant Inc. common stock. On July 6, 2017, 12,000 of the reporting person's restricted stock units were settled for an equal number of shares of common stock.
- F2One-half of the shares vested on each of July 6, 2016 and July 6, 2017.