Neal Fenzi - 01 Dec 2021 Form 4 Insider Report for Resonant Inc

Role
Chief Technology Officer
Signature
/a/Martin S. McDermut, Attorney-In-Fact
Issuer symbol
N/A
Transactions as of
01 Dec 2021
Net transactions value
-$27,567
Form type
4
Filing time
03 Dec 2021, 20:43:21 UTC
Previous filing
19 Nov 2021
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 +8,653 +1.5% 567,389 01 Dec 2021 Direct F1
transaction RESN Common Stock Options Exercise +6,057 +1.1% 573,446 01 Dec 2021 Direct F1
transaction RESN Common Stock Options Exercise +9,430 +1.6% 582,876 01 Dec 2021 Direct F1
transaction RESN Common Stock Options Exercise +10,638 +1.8% 593,514 01 Dec 2021 Direct F1
transaction RESN Common Stock Options Exercise +6,250 +1.1% 599,764 01 Dec 2021 Direct F1
transaction RESN Common Stock Sale $17,131 -9,025 -1.5% $1.90 590,739 02 Dec 2021 Direct F2, F3
transaction RESN Common Stock Sale $10,436 -5,970 -1% $1.75 584,769 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 -8,653 -100% $0.000000* 0 01 Dec 2021 Common Stock 8,653 Direct F1, F5
transaction RESN Restricted Stock Units Options Exercise $0 -6,057 -50% $0.000000 6,057 01 Dec 2021 Common Stock 6,057 Direct F1, F6
transaction RESN Restricted Stock Units Options Exercise $0 -9,430 -33% $0.000000 18,860 01 Dec 2021 Common Stock 9,430 Direct F1, F7
transaction RESN Restricted Stock Units Options Exercise $0 -10,638 -25% $0.000000 31,914 01 Dec 2021 Common Stock 10,638 Direct F1, F8
transaction RESN Restricted Stock Units Options Exercise $0 -6,250 -33% $0.000000 12,500 01 Dec 2021 Common Stock 6,250 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 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.