Accession Number: | 0001603582-19-000006 |
Date: | 2019-07-01 |
Issuer: | RESONANT INC (RESN) |
Original Submission Date: |
HOLMES GEORGE B
C/O RESONANT INC.
175 CREMONA DRIVE, SUITE 200
GOLETA, CA 93117
Title of Security | Transaction Date | 2a. Deemed Execution Date | Transaction Code | Shares | Acquired or Disposed | Price per share | 5. Amount of Securities Beneficially Owned Following Reported Transaction | 6. Ownership Form Direct or Indirect | Nature of Indirect Ownership |
---|---|---|---|---|---|---|---|---|---|
COMMON STOCK | 2019-07-01 | M | 9,000 | a | $0.00 | 307,672 | direct | ||
COMMON STOCK | 2019-07-01 | M | 2,639 | a | $0.00 | 310,311 | direct | ||
COMMON STOCK | 2019-07-01 | M | 2,496 | a | $0.00 | 312,807 | direct | ||
COMMON STOCK | 2019-07-02 | S | 6,807 | d | $2.26 | 306,000 | direct |
Title of Derivative Security | Conversion or Exercise Price of Derivative Security | Transaction Date | Deemed Execution Date | Transaction Code | Number of Derivative Securities Acquired (A) or Disposed of (D) | Date Exercisable | Expiration Date | Title and Amount of Securities Underlying Derivative Security | Price of Derivative Security | Number of derivative Securities Beneficially Owned Following Reported Transaction(s) | Ownership Form: Direct (D) or Indirect (I) | Nature of Indirect Beneficial Ownership |
---|---|---|---|---|---|---|---|---|---|---|---|---|
RESTRICTED STOCK UNITS | 0.0 | 2019-07-01 | deemed execution date | M | 9,000 (d) | common stock 9,000 | $0.00 | 18,000 | direct | |||
RESTRICTED STOCK UNITS | 0.0 | 2019-07-01 | deemed execution date | M | 2,639 (d) | common stock 2,639 | $0.00 | 5,279 | direct | |||
RESTRICTED STOCK UNITS | 0.0 | 2019-07-01 | deemed execution date | M | 2,496 (d) | common stock 2,496 | $0.00 | 4,992 | direct |
ID | footnote |
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f1 | each restricted stock unit represents a contingent right to receive one share of resonant common stock. |
f2 | this transaction was effected pursuant to a rule 10b5-1 trading plan previously adopted by the reporting person to satisfy the reporting person's tax withholding obligations upon the vesting of restricted stock units. |
f3 | this transaction was executed in multiple trades at prices ranging from $2.25 to $2.29. the price reported above reflects the weighted average sale price. the reporting person hereby undertakes to provide upon request to the sec staff, the issuer or a security holder of the issuer full information regarding the number of shares and prices at which the transaction was effected. |
f4 | 27,000 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. |
f5 | 7,917 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. |
f6 | 22,465 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. |