George B. Holmes - 01 Dec 2021 Form 4 Insider Report for Resonant Inc

Role
Chief Executive Officer, Director
Signature
/s/Martin S. McDermut, Attorney-In-Fact
Issuer symbol
N/A
Transactions as of
01 Dec 2021
Net transactions value
-$121,706
Form type
4
Filing time
03 Dec 2021, 20:28:50 UTC
Next filing
19 Jan 2022
SEC
View on sec.gov

Transactions Table

Type Sym Class Transaction Value $ Shares Change % * Price $ Shares After Date Ownership Footnotes
transaction RESN Common Stock Options Exercise +24,013 +5.6% 450,809 01 Dec 2021 Direct F1
transaction RESN Common Stock Options Exercise +3,205 +0.71% 454,014 01 Dec 2021 Direct F1
transaction RESN Common Stock Options Exercise +24,013 +5.3% 478,027 01 Dec 2021 Direct F1
transaction RESN Common Stock Options Exercise +50,000 +10% 528,027 01 Dec 2021 Direct F1
transaction RESN Common Stock Options Exercise +38,610 +7.3% 566,637 01 Dec 2021 Direct F1
transaction RESN Common Stock Sale $75,657 -39,857 -7% $1.90 526,780 02 Dec 2021 Direct F2, F3
transaction RESN Common Stock Sale $46,049 -26,344 -5% $1.75 500,436 03 Dec 2021 Direct F2, F4

Derivative Securities (e.g., puts, calls, warrants, options, convertible securities)

Type Sym Class Transaction Value $ Shares Change % * Price $ Shares After Date Underlying Class Amount Exercise Price Ownership Footnotes
transaction RESN Restricted Stock Units Options Exercise $0 -24,013 -100% $0.000000* 0 01 Dec 2021 Common Stock 24,013 Direct F1, F5
transaction RESN Restricted Stock Units Options Exercise $0 -3,205 -50% $0.000000 3,205 01 Dec 2021 Common Stock 3,205 Direct F1, F6
transaction RESN Restricted Stock Units Options Exercise $0 -24,013 -50% $0.000000 24,013 01 Dec 2021 Common Stock 24,013 Direct F1, F7
transaction RESN Restricted Stock Units Options Exercise $0 -50,000 -33% $0.000000 100,000 01 Dec 2021 Common Stock 50,000 Direct F1, F8
transaction RESN Restricted Stock Units Options Exercise $0 -38,610 -25% $0.000000 115,830 01 Dec 2021 Common Stock 38,610 Direct F1, F9
* An asterisk sign (*) next to the price indicates that the price is likely invalid.

Explanation of Responses:

Id Content
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 24,013 restricted stock units vested on each of December 1, 2018, December 1, 2019, December 2, 2020, and December 1, 2021.
F6 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.
F7 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.
F8 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.
F9 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.