Initial Statement of Beneficial Ownership (3)
21 March 2020 - 8:22AM
Edgar (US Regulatory)
FORM 3
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UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
INITIAL STATEMENT OF BENEFICIAL OWNERSHIP OF SECURITIES
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OMB APPROVAL
OMB Number:
3235-0104
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Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934 or Section 30(h) of the Investment Company Act of 1940
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1. Name and Address of Reporting Person
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Carberry Marybeth |
2. Date of Event Requiring Statement (MM/DD/YYYY)
3/10/2020
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3. Issuer Name and Ticker or Trading Symbol
Resonant Inc [RESN]
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(Last)
(First)
(Middle)
C/O RESONANT INC., 175 CREMONA DRIVE, SUITE 200 |
4. Relationship of Reporting Person(s) to Issuer (Check all applicable)
__X__ Director _____ 10% Owner _____ Officer (give title below) _____ Other (specify below)
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(Street)
GOLETA, CA 93117
(City)
(State)
(Zip)
| 5. If Amendment, Date Original Filed(MM/DD/YYYY)
| 6. Individual or Joint/Group Filing(Check Applicable Line)
_X_ Form filed by One Reporting Person
___ Form filed by More than One Reporting Person
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Table I - Non-Derivative Securities Beneficially Owned
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1.Title of Security (Instr. 4) | 2. Amount of Securities Beneficially Owned (Instr. 4) | 3. Ownership Form: Direct (D) or Indirect (I) (Instr. 5) | 4. Nature of Indirect Beneficial Ownership (Instr. 5) |
Common Stock | 39678 | D | |
Common Stock | 13334 (1) | D | |
Table II - Derivative Securities Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities)
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1. Title of Derivate Security (Instr. 4) | 2. Date Exercisable and Expiration Date (MM/DD/YYYY) | 3. Title and Amount of Securities Underlying Derivative Security (Instr. 4) | 4. Conversion or Exercise Price of Derivative Security | 5. Ownership Form of Derivative Security: Direct (D) or Indirect (I) (Instr. 5) | 6. Nature of Indirect Beneficial Ownership (Instr. 5) |
Date Exercisable | Expiration Date | Title | Amount or Number of Shares |
Restricted Stock Units | (2) | (2) | Common Stock | 35000 | $0 | D | |
Restricted Stock Units | (3) | (3) | Common Stock | 41647 | $0 | D | |
Restricted Stock Units | (4) | (4) | Common Stock | 13142 | $0 | D | |
Restricted Stock Units | (5) | (5) | Common Stock | 42500 | $0 | D | |
Explanation of Responses: |
(1) | Represents a grant of restricted stock units, 100% of which will vest on May 13, 2020. |
(2) | The restricted stock units will vest as follows: 8,750 shares on each of December 1, 2020, December 1, 2021 and December 1, 2022, and 10,411 shares on December 1, 2023. |
(3) | The restricted stock units will vest as follows: 10,412 shares on each of December 1, 2020, December 1, 2021 and December 1, 2022, and 10,411 shares on December 1, 2023. |
(4) | The restricted stock units will vest as follows: 4,381 shares on each of December 1, 2020 and December 1, 2021, and 4,380 shares on December 1, 2022. |
(5) | The restricted stock units will vest as follows: 21,250 shares on each of December 1, 2020 and December 1, 2021. |
Remarks: Exhibit 24 Power of Attorney filed herewith. |
Reporting Owners
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Reporting Owner Name / Address | Relationships |
Director | 10% Owner | Officer | Other |
Carberry Marybeth C/O RESONANT INC. 175 CREMONA DRIVE, SUITE 200 GOLETA, CA 93117 | X |
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Signatures
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/s/Martin S. McDermut, Attorney-In-Fact | | 3/20/2020 |
**Signature of Reporting Person | Date |
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