Form D Raw Data - Electronic Filing Depository

EFDID: 164594EFD: Raw Data

Issuer: Resonant Inc (0001579910) - D

Accession: 0001579910-16-000023 () (EDGAR Files) (Form D)

Edgar Posted: May. 10, 2016
EFD Posted: May. 10, 2016

- < edgarSubmission >

< schemaVersion > X0707 </ schemaVersion >

< submissionType > D </ submissionType >

< testOrLive > LIVE </ testOrLive >

- < primaryIssuer >

< cik > 0001579910 </ cik >

< entityName > Resonant Inc </ entityName >

- < issuerAddress >

< street1 > 110 CASTILIAN DRIVE </ street1 >

< street2 > SUITE 100 </ street2 >

< city > GOLETA </ city >

< stateOrCountry > CA </ stateOrCountry >

< stateOrCountryDescription > CALIFORNIA </ stateOrCountryDescription >

< zipCode > 93117 </ zipCode >

</ issuerAddress >

< issuerPhoneNumber > (805) 308-9803 </ issuerPhoneNumber >

< jurisdictionOfInc > DELAWARE </ jurisdictionOfInc >

- < issuerPreviousNameList >

< value > None </ value >

</ issuerPreviousNameList >

- < edgarPreviousNameList >

< value > None </ value >

</ edgarPreviousNameList >

< entityType > Corporation </ entityType >

- < yearOfInc >

< withinFiveYears > true </ withinFiveYears >

< value > 2012 </ value >

</ yearOfInc >

</ primaryIssuer >

- < relatedPersonsList >

- < relatedPersonInfo >

- < relatedPersonName >

< firstName > Terry </ firstName >

< lastName > Lingren </ lastName >

</ relatedPersonName >

- < relatedPersonAddress >

< street1 > 110 Castilian Drive </ street1 >

< street2 > Suite 100 </ street2 >

< city > Goleta </ city >

< stateOrCountry > CA </ stateOrCountry >

< stateOrCountryDescription > CALIFORNIA </ stateOrCountryDescription >

< zipCode > 93117 </ zipCode >

</ relatedPersonAddress >

- < relatedPersonRelationshipList >

< relationship > Executive Officer </ relationship >

< relationship > Director </ relationship >

</ relatedPersonRelationshipList >

< relationshipClarification />

</ relatedPersonInfo >

- < relatedPersonInfo >

- < relatedPersonName >

< firstName > John </ firstName >

< lastName > Philpott </ lastName >

</ relatedPersonName >

- < relatedPersonAddress >

< street1 > 110 Castilian Drive </ street1 >

< street2 > Suite 100 </ street2 >

< city > Goleta </ city >

< stateOrCountry > CA </ stateOrCountry >

< stateOrCountryDescription > CALIFORNIA </ stateOrCountryDescription >

< zipCode > 93117 </ zipCode >

</ relatedPersonAddress >

- < relatedPersonRelationshipList >

< relationship > Executive Officer </ relationship >

</ relatedPersonRelationshipList >

< relationshipClarification />

</ relatedPersonInfo >

- < relatedPersonInfo >

- < relatedPersonName >

< firstName > George </ firstName >

< lastName > Holmes </ lastName >

</ relatedPersonName >

- < relatedPersonAddress >

< street1 > 110 Castilian Drive </ street1 >

< street2 > Suite 100 </ street2 >

< city > Goleta </ city >

< stateOrCountry > CA </ stateOrCountry >

< stateOrCountryDescription > CALIFORNIA </ stateOrCountryDescription >

< zipCode > 93117 </ zipCode >

</ relatedPersonAddress >

- < relatedPersonRelationshipList >

< relationship > Executive Officer </ relationship >

< relationship > Director </ relationship >

</ relatedPersonRelationshipList >

< relationshipClarification />

</ relatedPersonInfo >

- < relatedPersonInfo >

- < relatedPersonName >

< firstName > Robert </ firstName >

< lastName > Hammond </ lastName >

</ relatedPersonName >

- < relatedPersonAddress >

< street1 > 110 Castilian Drive </ street1 >

< street2 > Suite 100 </ street2 >

< city > Goleta </ city >

< stateOrCountry > CA </ stateOrCountry >

< stateOrCountryDescription > CALIFORNIA </ stateOrCountryDescription >

< zipCode > 93117 </ zipCode >

</ relatedPersonAddress >

- < relatedPersonRelationshipList >

< relationship > Executive Officer </ relationship >

< relationship > Director </ relationship >

</ relatedPersonRelationshipList >

< relationshipClarification />

</ relatedPersonInfo >

- < relatedPersonInfo >

- < relatedPersonName >

< firstName > Janet </ firstName >

< lastName > Cooper </ lastName >

</ relatedPersonName >

- < relatedPersonAddress >

< street1 > 110 Castilian Drive </ street1 >

< street2 > Suite 100 </ street2 >

< city > Goleta </ city >

< stateOrCountry > CA </ stateOrCountry >

< stateOrCountryDescription > CALIFORNIA </ stateOrCountryDescription >

< zipCode > 93117 </ zipCode >

</ relatedPersonAddress >

- < relatedPersonRelationshipList >

< relationship > Director </ relationship >

</ relatedPersonRelationshipList >

< relationshipClarification />

</ relatedPersonInfo >

- < relatedPersonInfo >

- < relatedPersonName >

< firstName > John </ firstName >

< lastName > Major </ lastName >

</ relatedPersonName >

- < relatedPersonAddress >

< street1 > 110 Castilian Drive </ street1 >

< street2 > Suite 100 </ street2 >

< city > Goleta </ city >

< stateOrCountry > CA </ stateOrCountry >

< stateOrCountryDescription > CALIFORNIA </ stateOrCountryDescription >

< zipCode > 93117 </ zipCode >

</ relatedPersonAddress >

- < relatedPersonRelationshipList >

< relationship > Director </ relationship >

</ relatedPersonRelationshipList >

< relationshipClarification />

</ relatedPersonInfo >

- < relatedPersonInfo >

- < relatedPersonName >

< firstName > Richard </ firstName >

< lastName > Kornfeld </ lastName >

</ relatedPersonName >

- < relatedPersonAddress >

< street1 > 110 Castilian Drive </ street1 >

< street2 > Suite 100 </ street2 >

< city > Goleta </ city >

< stateOrCountry > CA </ stateOrCountry >

< stateOrCountryDescription > CALIFORNIA </ stateOrCountryDescription >

< zipCode > 93117 </ zipCode >

</ relatedPersonAddress >

- < relatedPersonRelationshipList >

< relationship > Director </ relationship >

</ relatedPersonRelationshipList >

< relationshipClarification />

</ relatedPersonInfo >

- < relatedPersonInfo >

- < relatedPersonName >

< firstName > Thomas </ firstName >

< lastName > Joseph </ lastName >

</ relatedPersonName >

- < relatedPersonAddress >

< street1 > 110 Castilian Drive </ street1 >

< street2 > Suite 100 </ street2 >

< city > Goleta </ city >

< stateOrCountry > CA </ stateOrCountry >

< stateOrCountryDescription > CALIFORNIA </ stateOrCountryDescription >

< zipCode > 93117 </ zipCode >

</ relatedPersonAddress >

- < relatedPersonRelationshipList >

< relationship > Director </ relationship >

</ relatedPersonRelationshipList >

< relationshipClarification />

</ relatedPersonInfo >

- < relatedPersonInfo >

- < relatedPersonName >

< firstName > Neal </ firstName >

< lastName > Fenzi </ lastName >

</ relatedPersonName >

- < relatedPersonAddress >

< street1 > 110 Castilian Drive </ street1 >

< street2 > Suite 100 </ street2 >

< city > Goleta </ city >

< stateOrCountry > CA </ stateOrCountry >

< stateOrCountryDescription > CALIFORNIA </ stateOrCountryDescription >

< zipCode > 93117 </ zipCode >

</ relatedPersonAddress >

- < relatedPersonRelationshipList >

< relationship > Executive Officer </ relationship >

</ relatedPersonRelationshipList >

< relationshipClarification />

</ relatedPersonInfo >

- < relatedPersonInfo >

- < relatedPersonName >

< firstName > Michael </ firstName >

< middleName > J. </ middleName >

< lastName > Fox </ lastName >

</ relatedPersonName >

- < relatedPersonAddress >

< street1 > 110 Castilian Drive </ street1 >

< street2 > Suite 100 </ street2 >

< city > Goleta </ city >

< stateOrCountry > CA </ stateOrCountry >

< stateOrCountryDescription > CALIFORNIA </ stateOrCountryDescription >

< zipCode > 93117 </ zipCode >

</ relatedPersonAddress >

- < relatedPersonRelationshipList >

< relationship > Director </ relationship >

</ relatedPersonRelationshipList >

< relationshipClarification />

</ relatedPersonInfo >

</ relatedPersonsList >

- < offeringData >

- < industryGroup >

< industryGroupType > Telecommunications </ industryGroupType >

</ industryGroup >

- < issuerSize >

< revenueRange > Decline to Disclose </ revenueRange >

</ issuerSize >

- < federalExemptionsExclusions >

< item > 06b </ item >

</ federalExemptionsExclusions >

- < typeOfFiling >

- < newOrAmendment >

< isAmendment > false </ isAmendment >

</ newOrAmendment >

- < dateOfFirstSale >

< value > 2016-04-25 </ value >

</ dateOfFirstSale >

</ typeOfFiling >

- < durationOfOffering >

< moreThanOneYear > false </ moreThanOneYear >

</ durationOfOffering >

- < typesOfSecuritiesOffered >

< isEquityType > true </ isEquityType >

< isOptionToAcquireType > true </ isOptionToAcquireType >

< isSecurityToBeAcquiredType > true </ isSecurityToBeAcquiredType >

</ typesOfSecuritiesOffered >

- < businessCombinationTransaction >

< isBusinessCombinationTransaction > false </ isBusinessCombinationTransaction >

< clarificationOfResponse />

</ businessCombinationTransaction >

< minimumInvestmentAccepted > 0 </ minimumInvestmentAccepted >

- < salesCompensationList >

- < recipient >

< recipientName > National Securities Corporation </ recipientName >

< recipientCRDNumber > 7569 </ recipientCRDNumber >

< associatedBDName > National Securities Corporation </ associatedBDName >

< associatedBDCRDNumber > 7569 </ associatedBDCRDNumber >

- < recipientAddress >

< street1 > 410 Park Avenue </ street1 >

< street2 > 14th Floor </ street2 >

< city > New York </ city >

< stateOrCountry > NY </ stateOrCountry >

< stateOrCountryDescription > NEW YORK </ stateOrCountryDescription >

< zipCode > 10022 </ zipCode >

</ recipientAddress >

- < statesOfSolicitationList >

< state > AR </ state >

< description > ARKANSAS </ description >

< state > CA </ state >

< description > CALIFORNIA </ description >

< state > FL </ state >

< description > FLORIDA </ description >

< state > IL </ state >

< description > ILLINOIS </ description >

< state > IN </ state >

< description > INDIANA </ description >

< state > MD </ state >

< description > MARYLAND </ description >

< state > MI </ state >

< description > MICHIGAN </ description >

< state > MO </ state >

< description > MISSOURI </ description >

< state > NV </ state >

< description > NEVADA </ description >

< state > NJ </ state >

< description > NEW JERSEY </ description >

< state > NY </ state >

< description > NEW YORK </ description >

< state > TX </ state >

< description > TEXAS </ description >

< state > WA </ state >

< description > WASHINGTON </ description >

</ statesOfSolicitationList >

< foreignSolicitation > false </ foreignSolicitation >

</ recipient >

- < recipient >

< recipientName > Drexel Hamilton, LLC </ recipientName >

< recipientCRDNumber > 143570 </ recipientCRDNumber >

< associatedBDName > Drexel Hamilton, LLC </ associatedBDName >

< associatedBDCRDNumber > 143570 </ associatedBDCRDNumber >

- < recipientAddress >

< street1 > 789 N. Water Street </ street1 >

< street2 > Suite 400 </ street2 >

< city > Milwaukee </ city >

< stateOrCountry > WI </ stateOrCountry >

< stateOrCountryDescription > WISCONSIN </ stateOrCountryDescription >

< zipCode > 53202 </ zipCode >

</ recipientAddress >

- < statesOfSolicitationList >

< state > AR </ state >

< description > ARKANSAS </ description >

< state > CA </ state >

< description > CALIFORNIA </ description >

< state > FL </ state >

< description > FLORIDA </ description >

< state > IL </ state >

< description > ILLINOIS </ description >

< state > IN </ state >

< description > INDIANA </ description >

< state > MD </ state >

< description > MARYLAND </ description >

< state > MI </ state >

< description > MICHIGAN </ description >

< state > MO </ state >

< description > MISSOURI </ description >

< state > NV </ state >

< description > NEVADA </ description >

< state > NJ </ state >

< description > NEW JERSEY </ description >

< state > NY </ state >

< description > NEW YORK </ description >

< state > TX </ state >

< description > TEXAS </ description >

< state > WA </ state >

< description > WASHINGTON </ description >

</ statesOfSolicitationList >

< foreignSolicitation > false </ foreignSolicitation >

</ recipient >

</ salesCompensationList >

- < offeringSalesAmounts >

< totalOfferingAmount > 5960686 </ totalOfferingAmount >

< totalAmountSold > 5960686 </ totalAmountSold >

< totalRemaining > 0 </ totalRemaining >

< clarificationOfResponse />

</ offeringSalesAmounts >

- < investors >

< hasNonAccreditedInvestors > false </ hasNonAccreditedInvestors >

< totalNumberAlreadyInvested > 72 </ totalNumberAlreadyInvested >

</ investors >

- < salesCommissionsFindersFees >

- < salesCommissions >

< dollarAmount > 597600 </ dollarAmount >

</ salesCommissions >

- < findersFees >

< dollarAmount > 0 </ dollarAmount >

</ findersFees >

< clarificationOfResponse > Additionally, the placement agents received warrants to purchase an aggregate of 99,844 shares of Issuer's common stock, representing 5% of the number of shares of common stock issued to investors in the financing, at an exercise price equal to $2.86. </ clarificationOfResponse >

</ salesCommissionsFindersFees >

- < useOfProceeds >

- < grossProceedsUsed >

< dollarAmount > 0 </ dollarAmount >

</ grossProceedsUsed >

< clarificationOfResponse />

</ useOfProceeds >

- < signatureBlock >

< authorizedRepresentative > false </ authorizedRepresentative >

- < signature >

< issuerName > Resonant Inc </ issuerName >

< signatureName > /s/John Philpott </ signatureName >

< nameOfSigner > John Philpott </ nameOfSigner >

< signatureTitle > Chief Financial Officer </ signatureTitle >

< signatureDate > 2016-05-10 </ signatureDate >

</ signature >

</ signatureBlock >

</ offeringData >

</ edgarSubmission >