Wolf Lisa G's Form 4 filing
Resonant Inc (RESN) · filed Dec 3, 2021
- Accession no.
- 0001861556-21-000008
- 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 6 non-derivative transactions and 4 derivative transactions. Open-market sales total $32.9K. 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 |
|---|---|
| Wolf Lisa GCIK 0001861556 | Officer (Chief Accounting 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 | +6,931 | –F1 | – | 155,672 | Direct | |
| Dec 1, 2021 | Common Stock | MOption exerciseAcquired | +10,394 | –F1 | – | 166,066 | Direct | |
| Dec 1, 2021 | Common Stock | MOption exerciseAcquired | +9,861 | –F1 | – | 175,927 | Direct | |
| Dec 1, 2021 | Common Stock | MOption exerciseAcquired | +12,500 | –F1 | – | 188,427 | Direct | |
| Dec 2, 2021 | Common Stock | SSaleDisposed | −10,749 | $1.90F3 | −$20,423.1 | 177,678 | Direct | |
| Dec 3, 2021 | Common Stock | SSaleDisposed | −7,110 | $1.75F4 | −$12,442.5 | 170,568 | 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 | −6,931 | $0.00 | $0 | 6,931 | Direct | |
| Dec 1, 2021 | Common Stock | MOption exerciseDisposed | −10,394 | $0.00 | $0 | 20,787 | Direct | |
| Dec 1, 2021 | Common Stock | MOption exerciseDisposed | −9,861 | $0.00 | $0 | 29,577 | Direct | |
| Dec 1, 2021 | Common Stock | MOption exerciseDisposed | −12,500 | $0.00 | $0 | 25,000 | 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 4 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 purchase 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 purchase 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.