0001603582-21-000002.txt : 20211203 0001603582-21-000002.hdr.sgml : 20211203 20211203212850 ACCESSION NUMBER: 0001603582-21-000002 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20211201 FILED AS OF DATE: 20211203 DATE AS OF CHANGE: 20211203 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Holmes George B CENTRAL INDEX KEY: 0001603582 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-36467 FILM NUMBER: 211471777 MAIL ADDRESS: STREET 1: C/O RESONANT INC. STREET 2: 10900 STONELAKE BLVD., SUITE 100, OFFICE CITY: AUSTIN STATE: TX ZIP: 78759 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: Resonant Inc CENTRAL INDEX KEY: 0001579910 STANDARD INDUSTRIAL CLASSIFICATION: SEMICONDUCTORS & RELATED DEVICES [3674] IRS NUMBER: 454320930 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 BUSINESS ADDRESS: STREET 1: 10900 STONELAKE BLVD STREET 2: SUITE 100, OFFICE 02-130 CITY: AUSTIN STATE: TX ZIP: 78759 BUSINESS PHONE: (805) 308-9803 MAIL ADDRESS: STREET 1: 10900 STONELAKE BLVD STREET 2: SUITE 100, OFFICE 02-130 CITY: AUSTIN STATE: TX ZIP: 78759 4 1 primary_doc.xml PRIMARY DOCUMENT X0306 4 2021-12-01 0 0001579910 Resonant Inc RESN 0001603582 Holmes George B C/O RESONANT INC. 10900 STONELAKE BLVD., SUITE 100, OFFICE AUSTIN TX 78759 1 1 0 0 Chief Executive Officer Common Stock 2021-12-01 4 M 0 24013 A 450809 D Common Stock 2021-12-01 4 M 0 3205 A 454014 D Common Stock 2021-12-01 4 M 0 24013 A 478027 D Common Stock 2021-12-01 4 M 0 50000 A 528027 D Common Stock 2021-12-01 4 M 0 38610 A 566637 D Common Stock 2021-12-02 4 S 0 39857 1.8982 D 526780 D Common Stock 2021-12-03 4 S 0 26344 1.748 D 500436 D Restricted Stock Units 2021-12-01 4 M 0 24013 0 D Common Stock 24013 0 D Restricted Stock Units 2021-12-01 4 M 0 3205 0 D Common Stock 3205 3205 D Restricted Stock Units 2021-12-01 4 M 0 24013 0 D Common Stock 24013 24013 D Restricted Stock Units 2021-12-01 4 M 0 50000 0 D Common Stock 50000 100000 D Restricted Stock Units 2021-12-01 4 M 0 38610 0 D Common Stock 38610 115830 D Each restricted stock unit represents a contingent right to receive one share of Resonant Inc. common stock. 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. 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. 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. 24,013 restricted stock units vested on each of December 1, 2018, December 1, 2019, December 2, 2020, and December 1, 2021. 3,206 restricted stock units vested on December 2, 2019, installments of 3,205 restricted stock units vested on each of December 1, 2020 and December 1, 2021, and an installment of 3,205 restricted stock units will vest on December 1, 2022. 24,014 restricted stock units vested on December 2, 2019, installments of 24,013 restricted stock units vested on each of December 1, 2020 and December 1, 2021, and an installment of 24,013 restricted stock units will vest on December 1, 2022. 50,000 restricted stock units vested on each of December 1, 2020 and December 1, 2021, and installments of 50,000 restricted stock units will vest on each of December 1, 2022, and December 1, 2023. 38,610 restricted stock units vested on December 1, 2021, and installments of 38,610 restricted stock units will vest on each of December 1, 2022, December 1, 2023 and December 1, 2024. /s/Martin S. McDermut, Attorney-In-Fact 2021-12-03