Attached files
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EX-5.1 - EX-5.1 - Resonant Inc | a14-3373_10ex5d1.htm |
EX-23.2 - EX-23.2 - Resonant Inc | a14-3373_10ex23d2.htm |
As filed with the Securities and Exchange Commission on May 28, 2014
Registration No. 333-
UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
FORM S-1
REGISTRATION STATEMENT
UNDER
THE SECURITIES ACT OF 1933
RESONANT INC.
(Exact name of registrant as specified in its charter)
Delaware incorporation or organization) |
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3674 |
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45-4320930 |
110 Castilian Drive, Suite 100
Goleta, California 93117
(805) 308-9803
(Address, including zip code, and telephone number, including area code, of registrants principal executive offices)
Terry Lingren
Chief Executive Officer
Resonant Inc.
110 Castilian Drive, Suite 100
Goleta, California 93117
(805) 308-9803
(Name, address, including zip code, and telephone number, including area code, of agent for service)
Copies to:
John J. McIlvery |
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Daniel G. Christopher |
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Andrew Hudders |
Approximate date of commencement of proposed sale to the public: As soon as practicable after this registration statement becomes effective.
If any of the securities being registered on this Form are to be offered on a delayed or continuous basis pursuant to Rule 415 under the Securities Act of 1933 check the following box: o
If this Form is filed to register additional securities for an offering pursuant to Rule 462(b) under the Securities Act, please check the following box and list the Securities Act registration statement number of the earlier effective registration statement for the same offering. x (File No. 333-193552)
If this Form is a post-effective amendment filed pursuant to Rule 462(c) under the Securities Act, check the following box and list the Securities Act registration statement number of the earlier effective registration statement for the same offering. o
If this Form is a post-effective amendment filed pursuant to Rule 462(d) under the Securities Act, check the following box and list the Securities Act registration statement number of the earlier effective registration statement for the same offering. o
Indicate by check mark whether the Registrant is a large accelerated filer, an accelerated filer, a non-accelerated filer, or a smaller reporting company. See the definitions of large accelerated filer, accelerated filer and smaller reporting company in Rule 12b-2 of the Exchange Act.
Large accelerated filer o |
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Non-accelerated filer o |
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Accelerated filer o |
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Smaller reporting company x |
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(Do not check if a smaller |
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reporting company) |
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CALCULATION OF REGISTRATION FEE
Title of Each Class of |
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Amount to be |
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Proposed |
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Proposed |
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Amount of |
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Common Stock, $0.001 par value per share(3) |
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517,500 |
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$ |
6.00 |
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3,105,000 |
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$ |
400 |
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Shares of Common Stock underlying Underwriter Warrant(4) |
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51,750 |
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$ |
7.50 |
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$ |
388,125 |
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50 |
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(1) |
Represents only the additional securities being registered, and does not include the securities that the Registrant previously registered on the Registration Statement on Form S-1, as amended (File No. 333-193552), which was declared effective by the Securities and Exchange Commission on May 28, 2014 (the Prior Registration Statement). | ||||||||||||
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(2) |
Estimated solely for the purpose of computing the amount of the registration fee pursuant to Rule 457(a) under the Securities Act of 1933, as amended. | ||||||||||||
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(3) |
Includes 67,500 shares of common stock that the underwriter has the option to purchase to cover over-allotments, if any. The registration fee is based upon the public offering price. | ||||||||||||
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(4) |
Registers additional shares of common stock that may be acquired upon exercise of a warrant to be granted to the underwriter, which warrant previously was registered on the Prior Registration Statement. | ||||||||||||
This Registration Statement shall become effective upon filing with the Securities and Exchange Commission in accordance with Rule 462(b) under the Securities Act.
EXPLANATORY NOTE AND INCORPORATION OF CERTAIN INFORMATION BY REFERENCE
Pursuant to Rule 462(b) under the Securities Act of 1933, as amended, Resonant Inc. (Registrant) is filing this registration statement with the Securities and Exchange Commission (the Commission). This registration statement relates to the public offering of securities contemplated by the Registration Statement on Form S-1, as amended (File No. 333-193552) (the Prior Registration Statement), which the Registrant originally filed on January 24, 2014, and which the Commission declared effective on May 28, 2014.
The Registrant is filing this Registration Statement for the sole purpose of increasing (i) the aggregate number of shares of common stock offered by the Registrant by 517,500 shares, 67,500 of which may be sold by the Registrant in the event the underwriters exercise their option to purchase additional shares of the Registrants common stock, and (ii) the aggregate number of shares of common stock underlying the warrant to be granted by the Registrant to the underwriter by 51,750 shares, which is equal to 10% of the additional number of shares of common stock offered by the Registrant. The additional shares that are being registered for issuance and sale are in an amount and at a price that together represent no more than 20% of the maximum aggregate offering price set forth in the Calculation of Registration Fee table contained in the Prior Registration Statement. The information set forth in the Prior Registration Statement and all exhibits to the Prior Registration Statement are hereby incorporated by reference into this Registration Statement.
The required opinion and consents are listed on the Exhibit Index attached hereto and filed herewith.
SIGNATURES
Pursuant to the requirements of the Securities Act of 1933, the registrant has duly caused this registration statement to be signed on its behalf by the undersigned, thereunto duly authorized, in the City of Goleta, State of California, on May 28, 2014.
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RESONANT INC. | |
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By: |
/s/ Terry Lingren |
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Terry Lingren |
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Chief Executive Officer and |
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Interim Chief Financial Officer |
Pursuant to the requirements of the Securities Act of 1933, this registration statement has been signed by the following persons in the capacities and on the dates indicated.
Signature |
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Title |
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Date | |
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/s/ Terry Lingren |
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Chief Executive Officer, Interim Chief Financial Officer |
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May 28, 2014 | |
Terry Lingren |
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and Chairman of the Board of Directors |
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* |
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Chief Technology Officer and Director |
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May 28, 2014 | |
Robert Hammond |
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Director |
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May 28, 2014 | |
Janet K. Cooper |
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Director |
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May 28, 2014 | |
Rick Kornfeld |
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Director |
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May 28, 2014 | |
John E. Major |
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*By: |
/s/ Terry Lingren |
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Terry Lingren |
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Attorney-in-Fact |
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EXHIBIT INDEX
Exhibit |
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Exhibit Description |
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5.1 |
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Opinion of Stubbs Alderton & Markiles, LLP |
23.1 |
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Consent of Stubbs Alderton & Markiles, LLP (included in Exhibit 5.1) |
23.2 |
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Consent of Squar, Milner, Peterson, Miranda & Williamson, LLP |
24.1 |
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Power of Attorney (incorporated by reference to Exhibit 24.1 of Registration Statement on Form S-1 (File No. 333-193552), |