SEC Form 4 · accession 0001683168-17-002674
Resonant Inc · RESN
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Longboard Capital Advisors, LLC
10% Owner
Period of report
Sep 25, 2017
Accepted (ET)
Oct 16, 2017 · 5:00 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 | Sep 25, 2017 | P | 5,300 | $4.70 | A | 185,300 | I | By Blue Earth Fund, LP |
| Common StockF1 | Sep 25, 2017 | P | 5,300 | $4.70 | A | 34,900 | I | By Conrad Group Inc. Defined Benefit Plan |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| WarrantsF1 | $4.85 | Sep 25, 2017 | P | 5,300 | A | Mar 28, 2018 | Sep 28, 2020 | Common Stock | 5,300 | 125,300 | I |
| WarrantsF1 | $4.85 | Sep 25, 2017 | P | 5,300 | A | Mar 28, 2018 | Sep 28, 2020 | Common Stock | 5,300 | 5,300 | I |
Explanation of responses
- F1Units were purchased, at a price of $4.70 per unit. Each unit contains 1 restricted common stock share and 1 warrant to purchase a restricted common stock share at an exercise price of $4.85 per share.