George Holmes - Dec 1, 2021 Form 4 Insider Report for Resonant Inc (RESN)

Role
Chief Executive Officer, Director
Signature
/s/Martin S. McDermut, Attorney-In-Fact
Stock symbol
RESN
Transactions as of
Dec 1, 2021
Transactions value $
-$121,706
Form type
4
Date filed
12/3/2021, 08:28 PM
Next filing
Jan 19, 2022

Transactions Table

Type Sym Class Transaction Value $ Shares Change % * Price $ Shares After Date Ownership Footnotes
transaction RESN Common Stock Options Exercise +24K +5.63% 451K Dec 1, 2021 Direct F1
transaction RESN Common Stock Options Exercise +3.21K +0.71% 454K Dec 1, 2021 Direct F1
transaction RESN Common Stock Options Exercise +24K +5.29% 478K Dec 1, 2021 Direct F1
transaction RESN Common Stock Options Exercise +50K +10.46% 528K Dec 1, 2021 Direct F1
transaction RESN Common Stock Options Exercise +38.6K +7.31% 567K Dec 1, 2021 Direct F1
transaction RESN Common Stock Sale -$75.7K -39.9K -7.03% $1.90 527K Dec 2, 2021 Direct F2, F3
transaction RESN Common Stock Sale -$46K -26.3K -5% $1.75 500K Dec 3, 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 -24K -100% $0.00* 0 Dec 1, 2021 Common Stock 24K Direct F1, F5
transaction RESN Restricted Stock Units Options Exercise $0 -3.21K -50% $0.00 3.21K Dec 1, 2021 Common Stock 3.21K Direct F1, F6
transaction RESN Restricted Stock Units Options Exercise $0 -24K -50% $0.00 24K Dec 1, 2021 Common Stock 24K Direct F1, F7
transaction RESN Restricted Stock Units Options Exercise $0 -50K -33.33% $0.00 100K Dec 1, 2021 Common Stock 50K Direct F1, F8
transaction RESN Restricted Stock Units Options Exercise $0 -38.6K -25% $0.00 116K Dec 1, 2021 Common Stock 38.6K 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.