Form Type: 4

SEC EDGAR Link
Accession Number:0001607240-21-000009
Date:2021-12-01
Issuer: RESONANT INC (RESN)
Original Submission Date:

Reporting Person:

FENZI NEAL
C/O RESONANT INC.10900 STONELAKE BLVD.,
SUITE 100, OFFICE 02-130 AUSTIN, TX 78759

Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
Title of SecurityTransaction Date2a. Deemed Execution Date Transaction CodeSharesAcquired or DisposedPrice per share 5. Amount of Securities Beneficially Owned Following Reported Transaction 6. Ownership Form Direct or IndirectNature of Indirect Ownership
COMMON STOCK 2021-12-01 M 8,653 a $0.00 567,389 direct
COMMON STOCK 2021-12-01 M 6,057 a $0.00 573,446 direct
COMMON STOCK 2021-12-01 M 9,430 a $0.00 582,876 direct
COMMON STOCK 2021-12-01 M 10,638 a $0.00 593,514 direct
COMMON STOCK 2021-12-01 M 6,250 a $0.00 599,764 direct
COMMON STOCK 2021-12-02 S 9,025 d $1.90 590,739 direct
COMMON STOCK 2021-12-03 S 5,970 d $1.75 584,769 direct
Derivative Securities Acquired, Disposed of, or Beneficially Owned
(e.g., puts, calls, warrants, convertible securities
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 ExercisableExpiration 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 2021-12-01 deemed execution date M 8,653 (d) common stock 8,653 $0.00 0 direct
RESTRICTED STOCK UNITS 0.0 2021-12-01 deemed execution date M 6,057 (d) common stock 6,057 $0.00 6,057 direct
RESTRICTED STOCK UNITS 0.0 2021-12-01 deemed execution date M 9,430 (d) common stock 9,430 $0.00 18,860 direct
RESTRICTED STOCK UNITS 0.0 2021-12-01 deemed execution date M 10,638 (d) common stock 10,638 $0.00 31,914 direct
RESTRICTED STOCK UNITS 0.0 2021-12-01 deemed execution date M 6,250 (d) common stock 6,250 $0.00 12,500 direct
Footnotes
IDfootnote
f1 each restricted stock unit represents a contingent right to receive one share of resonant inc. 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 $1.88 to $1.9150. 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 this transaction was executed in multiple trades at prices ranging from $1.73 to $1.78. 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.
f5 8,654 restricted stock units vested on december 1, 2018 and 8,653 restricted stock units vested on each of december 2, 2019, december 1, 2020, and december 1, 2021.
f6 6,058 restricted stock units vested on december 2, 2019, 6,057 restricted stock units vested on each of december 1, 2020 and december 1, 2021, and an installment of 6,057 restricted stock units will vest on december 1, 2022.
f7 (9,430 restricted stock units vested on december 1, 2020 and december 1, 2021, and installments of 9,430 restricted stock units will vest on each of december 1, 2022 and december 1, 2023.
f8 10,638 restricted stock units vested on december 1, 2021, and installments of 10,638 restricted stock units will vest on each of december 1, 2022, december 1, 2023, and december 1, 2024.
f9 6,250 restricted stock units vested on december 1, 2021, and installments of 6,250 restricted stock units will vest on each of december 1, 2022 and december 1, 2023.
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