Fenzi Neal's Form 4 filing
Resonant Inc (RESN) · filed Dec 3, 2021
- Accession no.
- 0001607240-21-000009
- 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 $27.6K. 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 |
|---|---|
| Fenzi NealCIK 0001607240 | Officer (Chief Technology 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 | +8,653 | –F1 | – | 567,389 | Direct | |
| Dec 1, 2021 | Common Stock | MOption exerciseAcquired | +6,057 | –F1 | – | 573,446 | Direct | |
| Dec 1, 2021 | Common Stock | MOption exerciseAcquired | +9,430 | –F1 | – | 582,876 | Direct | |
| Dec 1, 2021 | Common Stock | MOption exerciseAcquired | +10,638 | –F1 | – | 593,514 | Direct | |
| Dec 1, 2021 | Common Stock | MOption exerciseAcquired | +6,250 | –F1 | – | 599,764 | Direct | |
| Dec 2, 2021 | Common Stock | SSaleDisposed | −9,025 | $1.90F3 | −$17,147.5 | 590,739 | Direct | |
| Dec 3, 2021 | Common Stock | SSaleDisposed | −5,970 | $1.75F4 | −$10,447.5 | 584,769 | 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 | −8,653 | $0.00 | $0 | 0 | Direct | |
| Dec 1, 2021 | Common Stock | MOption exerciseDisposed | −6,057 | $0.00 | $0 | 6,057 | Direct | |
| Dec 1, 2021 | Common Stock | MOption exerciseDisposed | −9,430 | $0.00 | $0 | 18,860 | Direct | |
| Dec 1, 2021 | Common Stock | MOption exerciseDisposed | −10,638 | $0.00 | $0 | 31,914 | Direct | |
| Dec 1, 2021 | Common Stock | MOption exerciseDisposed | −6,250 | $0.00 | $0 | 12,500 | 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.