Holmes George B's Form 4 filing
Resonant Inc (RESN) · filed Dec 3, 2021
- Accession no.
- 0001603582-21-000002
- Filed
- Dec 3, 2021
- Trade date
- Dec 1-3, 2021
- Filing delay
- 2 days
- Rule 10b5-1 plan
- Not on the form (before 2023)
This filing lists 7 non-derivative transactions and 5 derivative transactions. Open-market sales total $121.8K. It was filed 2 days after the trade.
Reporting owners
A Form 4 can have several reporting owners, such as a person and a fund they control. Trade tables show the first one.
| Owner | Relationship to the company |
|---|---|
| Holmes George BCIK 0001603582 | Director, Officer (Chief Executive Officer) |
Non-derivative securities (Table I)
Acquisitions and disposals of common stock and similar shares, one row per line on the filing.
| Trade date | Security | Transaction | Shares | Price | Value | Shares after | Ownership | Flags |
|---|---|---|---|---|---|---|---|---|
| Dec 1, 2021 | Common Stock | MOption exerciseAcquired | +24,013 | –F1 | – | 450,809 | Direct | |
| Dec 1, 2021 | Common Stock | MOption exerciseAcquired | +3,205 | –F1 | – | 454,014 | Direct | |
| Dec 1, 2021 | Common Stock | MOption exerciseAcquired | +24,013 | –F1 | – | 478,027 | Direct | |
| Dec 1, 2021 | Common Stock | MOption exerciseAcquired | +50,000 | –F1 | – | 528,027 | Direct | |
| Dec 1, 2021 | Common Stock | MOption exerciseAcquired | +38,610 | –F1 | – | 566,637 | Direct | |
| Dec 2, 2021 | Common Stock | SSaleDisposed | −39,857 | $1.90F3 | −$75,728.3 | 526,780 | Direct | |
| Dec 3, 2021 | Common Stock | SSaleDisposed | −26,344 | $1.75F4 | −$46,102 | 500,436 | Direct |
Derivative securities (Table II)
Options, warrants, restricted stock units and similar. Shares are the underlying shares; price and value are for the derivative itself, and the holding after is in derivative units.
| Trade date | Security | Transaction | Underlying shares | Unit price | Value | Held after | Ownership | Flags |
|---|---|---|---|---|---|---|---|---|
| Dec 1, 2021 | Common Stock | MOption exerciseDisposed | −24,013 | $0.00 | $0 | 0 | Direct | |
| Dec 1, 2021 | Common Stock | MOption exerciseDisposed | −3,205 | $0.00 | $0 | 3,205 | Direct | |
| Dec 1, 2021 | Common Stock | MOption exerciseDisposed | −24,013 | $0.00 | $0 | 24,013 | Direct | |
| Dec 1, 2021 | Common Stock | MOption exerciseDisposed | −50,000 | $0.00 | $0 | 100,000 | Direct | |
| Dec 1, 2021 | Common Stock | MOption exerciseDisposed | −38,610 | $0.00 | $0 | 115,830 | Direct |
Footnotes and remarks
Livermore keeps the footnotes that transaction prices refer to, all footnotes of amendments (Form 4/A) and the filing's remarks. Other footnotes, such as how indirect holdings are held or the details of a trading plan, are only in the original on SEC EDGAR.
- F1
Each restricted stock unit represents a contingent right to receive one share of Resonant Inc. common stock.
Referenced by the price of 5 transactions in Table I.
- 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.
Referenced by the price of 1 transaction in Table I.
- 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.
Referenced by the price of 1 transaction in Table I.