SEC Form 4 · accession 0001646411-18-000001
Resonant Inc · RESN
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Thomas R Joseph
Director
Period of report
Jun 6, 2018
Accepted (ET)
Jun 8, 2018 · 7:11 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,F2 | Jun 6, 2018 | M | 11,627 | — | A | 41,594 | D | |
| Common StockF2 | Jun 7, 2018 | M | 5,967 | — | A | 47,561 | 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,F3 | — | Jun 6, 2018 | M | 11,627 | D | — | — | Common Stock | 11,627 | 0 | D |
| Restricted Stock UnitsF2,F4 | — | Jun 7, 2018 | M | 5,967 | D | — | — | Common Stock | 5,967 | 0 | D |
Explanation of responses
- F1Includes 5,813 shares underlying a restricted stock unit that will vest on June 12, 2018.
- F2Each restricted stock unit represents a contingent right to receive one share of Resonant Inc. common stock.
- F350% of the shares vested on June 6, 2018, and 50% of the shares shall vest on the earlier of (i) the day prior to the second annual meeting of stockholders following the grant and (ii) June 6, 2019, subject to earlier vesting upon the cessation of service.
- F450% of the shares vested on June 5, 2017, and 50% of the shares vested on June 7, 2018.