Resonant INC. Forms 3, 4 and 5: Warrants
Statements of beneficial ownership filed with the SEC by officers, directors and 10% owners: 24 rows, 24 shown. Transaction codes are the SEC's. Shares and prices are split-adjusted; the as-filed figure is underneath.
- 2019-04-05: Reporting owner Fox Michael J | Park City Capital, LLC; Form 4; Security Common Stock Warrants (Right to Buy); Transaction X Exercise of in-the-money or at-the-money derivative security.
- 2018-01-17: Reporting owner HAMMOND ROBERT B; Form 4; Security Warrant to Purchase Common Stock; Transaction D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e).
- 2018-01-17: Reporting owner HAMMOND ROBERT B; Form 4; Security Warrant to Purchase Common Stock; Transaction D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e).
- 2018-01-17: Reporting owner Fenzi Neal; Form 4; Security Warrant to Purchase Common Stock; Transaction D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e).
| Transaction date | Reporting owner | Form | Security | Transaction | Shares | Price | Price that day | Filing |
|---|---|---|---|---|---|---|---|---|
| 2019-04-05 | Fox Michael J | Park City Capital, LLC Director | Director | 4 | Common Stock Warrants (Right to Buy) Derivative · Indirect · By Park City Capital Offshore Master, Ltd. | X Exercise of in-the-money or at-the-money derivative security | −335,000 0 owned after | $2.86 exercise price | 2019-04-08 | |
| 2018-01-17 | HAMMOND ROBERT B Director, Officer (Chief Technology Officer) | 4 | Warrant to Purchase Common Stock Derivative · Direct | D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e) | −41,666 0 owned after | $0.20 exercise price | 2018-01-18 | |
| 2018-01-17 | HAMMOND ROBERT B Director, Officer (Chief Technology Officer) | 4 | Warrant to Purchase Common Stock Derivative · Direct | D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e) | −41,667 0 owned after | $0.20 exercise price | 2018-01-18 | |
| 2018-01-17 | Fenzi Neal Officer (Executive VP of Engineering) | 4 | Warrant to Purchase Common Stock Derivative · Direct | D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e) | −41,666 0 owned after | $0.20 exercise price | 2018-01-18 | |
| 2018-01-17 | Fenzi Neal Officer (Executive VP of Engineering) | 4 | Warrant to Purchase Common Stock Derivative · Direct | D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e) | −41,667 0 owned after | $0.20 exercise price | 2018-01-18 | |
| 2017-09-25 | Longboard Capital Advisors, LLC 10% Owner | 4 | Warrants Derivative · Indirect · By Blue Earth Fund, LP | P Open market or private purchase of non-derivative or derivative security | +5,300 125,300 owned after | $4.85 exercise price | 2017-10-16 | |
| 2017-09-25 | Longboard Capital Advisors, LLC 10% Owner | 4 | Warrants Derivative · Indirect · By Conrad Group Inc. Defined Benefit Plan | P Open market or private purchase of non-derivative or derivative security | +5,300 5,300 owned after | $4.85 exercise price | 2017-10-16 | |
| 2017-03-01 holding as of filing | Longboard Capital Advisors, LLC 10% Owner | 3 | Warrant Derivative · Indirect · By Grayboard Investments, Ltd | Holding | $8.25 exercise price | 2017-03-01 | ||
| 2017-03-01 holding as of filing | Longboard Capital Advisors, LLC 10% Owner | 3 | Warrant Derivative · Indirect · By Blue Earth Fund, LP | Holding | $2.86 exercise price | 2017-03-01 | ||
| 2016-04-25 | Holmes George B Director, Officer (Pres/Chief Commercial Officer) | 4 | Common Stock Warrants (Right to Buy) Derivative · Direct | P Open market or private purchase of non-derivative or derivative security | +8,300 8,300 owned after | $2.99 | 2016-04-26 | |
| 2016-04-25 | Kornfeld Richard Director | 4 | Common Stock Warrants (Right to Buy) Derivative · Direct | P Open market or private purchase of non-derivative or derivative security | +20,000 20,000 owned after | $2.99 | 2016-04-26 | |
| 2016-04-25 | Lingren Terry Director, Officer (CEO and Chairman) | 4 | Common Stock Warrants (Right to Buy) Derivative · Direct | P Open market or private purchase of non-derivative or derivative security | +5,000 5,000 owned after | $2.99 | 2016-04-26 | |
| 2016-04-25 | Fenzi Neal Officer (Chief Operating Officer) | 4 | Common Stock Warrants (Right to Buy) Derivative · Direct | P Open market or private purchase of non-derivative or derivative security | +5,000 5,000 owned after | $2.99 | 2016-04-26 | |
| 2016-04-25 | APPEL PETER A | Lone Wolf Holdings, LLC 10% Owner | 10% Owner | 4 | Common Stock Warrants (Right to Buy) Derivative · Direct | P Open market or private purchase of non-derivative or derivative security | +335,000 335,000 owned after | $2.99 | 2016-04-26 | |
| 2016-04-25 | MAJOR JOHN E Director | 4 | Common Stock Warrants (Right to Buy) Derivative · Direct | P Open market or private purchase of non-derivative or derivative security | +33,500 33,500 owned after | $2.99 | 2016-04-26 | |
| 2016-04-25 | HAMMOND ROBERT B Director, Officer (Chief Technology Officer) | 4 | Common Stock Warrants (Right to Buy) Derivative · Direct | P Open market or private purchase of non-derivative or derivative security | +5,000 5,000 owned after | $2.99 | 2016-04-26 | |
| 2016-04-25 | Park City Capital, LLC | Fox Michael J 10% Owner | Director, 10% Owner | 4 | Common Stock Warrants (Right to Buy) Derivative · Direct · (m) | P Open market or private purchase of non-derivative or derivative security | +10,700 10,700 owned after | $2.99 | 2016-04-26 | |
| 2016-04-25 | Park City Capital, LLC | Fox Michael J 10% Owner | Director, 10% Owner | 4 | Common Stock Warrants (Right to Buy) Derivative · Indirect · (m) | P Open market or private purchase of non-derivative or derivative security | +335,000 335,000 owned after | $2.99 | 2016-04-26 | |
| 2014-05-28 holding as of filing | Lingren Terry Director, Officer (CEO & Chairman) | 3 | Warrant to Purchase Common Stock Derivative · Direct | Holding | $0.20 exercise price | 2014-05-28 | ||
| 2014-05-28 holding as of filing | Lingren Terry Director, Officer (CEO & Chairman) | 3 | Warrant to Purchase Common Stock Derivative · Direct | Holding | $0.20 exercise price | 2014-05-28 | ||
| 2014-05-28 holding as of filing | HAMMOND ROBERT B Director, Officer (Chief Technology Officer) | 3 | Warrant to Purchase Common Stock Derivative · Direct | Holding | $0.20 exercise price | 2014-05-28 | ||
| 2014-05-28 holding as of filing | HAMMOND ROBERT B Director, Officer (Chief Technology Officer) | 3 | Warrant to Purchase Common Stock Derivative · Direct | Holding | $0.20 exercise price | 2014-05-28 | ||
| 2014-05-28 holding as of filing | Fenzi Neal Officer (VP of Engineering) | 3 | Warrant to Purchase Common Stock Derivative · Direct | Holding | $0.20 exercise price | 2014-05-28 | ||
| 2014-05-28 holding as of filing | Fenzi Neal Officer (VP of Engineering) | 3 | Warrant to Purchase Common Stock Derivative · Direct | Holding | $0.20 exercise price | 2014-05-28 |