UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549



FORM 10-K/A
(Amendment No. 1)



(Mark One)

x
ANNUAL REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934

For the fiscal year ended December 31, 2017

OR

o
TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934

For the transition period from                 to                      .

Commission file number 001-36467



RESONANT INC.
(Exact Name of Registrant as Specified in Its charter)

Delaware  
(State or Other Jurisdiction of
Incorporation or Organization)
 
45-4320930      
(I.R.S. Employer
Identification No.)

110 Castilian Drive, Suite 100, Goleta, California 93117
(Address of Principal Executive Offices) (Zip Code)

(805) 308-9803
(Registrant’s Telephone Number, Including Area Code)



Securities registered pursuant to Section 12(b) of the Act:

Title of each class
 
Name of each exchange on which registered
Common Stock, $0.001 par value
 
The NASDAQ Stock Market LLC

Securities registered pursuant to Section 12(g) of the Act: None

Indicate by check mark if the registrant is a well-known seasoned issuer, as defined in Rule 405 of the Securities Act. Yes  o   No  x
Indicate by check mark if the registrant is not required to file reports pursuant to Section 13 or 15(d) of the Act. Yes  o   No  x
Indicate by check mark whether the registrant (1) has filed all reports required to be filed by Section 13 or 15(d) of the Securities Exchange Act of 1934 during the preceding 12 months (or for such shorter period that the registrant was required to file such reports), and (2) has been subject to such filing requirements for the past 90 days. Yes  x   No  o
Indicate by check mark whether the registrant has submitted electronically and posted on its corporate Web site, if any, every Interactive Data File required to be submitted and posted pursuant to Rule 405 of Regulation S-T (§232.405 of this chapter) during the preceding 12 months (or for such shorter period that the registrant was required to submit and post such files). Yes  x   No  o
Indicate by check mark if disclosure of delinquent filers pursuant to Item 405 of Regulation S-K is not contained herein, and will not be contained, to the best of registrant’s knowledge, in definitive proxy or information statements incorporated by reference in Part III of this Form 10-K or any amendment to this Form 10-K. o
Indicate by check mark whether the registrant is a large accelerated filer, an accelerated filer, a non-accelerated filer, a smaller reporting company, or an emerging growth company. See the definitions of “large accelerated filer,” “accelerated filer,” “smaller reporting company,” and "emerging growth company" in Rule 12b-2 of the Exchange Act: (Check one):
Large accelerated filer  o
 
Accelerated filer o
Non-accelerated filer  o  
(Do not check if smaller reporting company)
 
Smaller reporting company x
 
 
Emerging growth company x
If an emerging growth company, indicate by check mark if the registrant has elected not to use the extended transition period for complying with any new or revised financial accounting standards provided pursuant to Section 13(a) of the Exchange Act. x
Indicate by check mark whether the registrant is a shell company (as defined in Rule 12b-2 of the Act). Yes  o   No  x
As of June 30, 2017, the aggregate market value of the voting and non-voting common equity held by non-affiliates was $46 million, based on the closing price on that date. As of February 26, 2018, the registrant had 19,911,602 shares of common stock issued and outstanding.
DOCUMENTS INCORPORATED BY REFERENCE
None







EXPLANATORY NOTE
Resonant Inc. (the “Company”) is filing this Amendment No. 1 on Form 10-K/A (this “Amendment No.1”) to its Annual Report on Form 10-K for the fiscal year ended December 31, 2017, originally filed with the Securities and Exchange Commission (the “SEC”) on February 28, 2018 (the “Original Form 10-K”), to amend Exhibit 23.1, the Consent of Crowe Horwath LLP, to correct a typographical error in Exhibit 23.1 included in the Original Form 10-K, which resulted in Exhibit 23.1 not conforming to the consent provided by the auditors. We are also including with this Amendment No. 1 certain new certifications by our principal executive officer and principal financial officer, and including footnotes to our list of Exhibits that were inadvertently omitted from the Original Form 10-K. Accordingly, Part IV, Item 15 of the Original Form 10-K is being amended to reflect the filing of a new Exhibit 23.1, the filing of new certifications as Exhibits 31.1 and 31.2, and the inclusion of the omitted footnotes.
Except as described above, no other changes have been made to the Original Form 10-K. Except as otherwise indicated herein, this Amendment No. 1 continues to speak as of the date of the Original Form 10-K, and the Company has not updated the disclosures contained therein to reflect any events that occurred subsequent to the date of the Original Form 10-K. Accordingly, this Amendment No. 1 should be read in conjunction with the Original Form 10-K and the Company’s filings made with the SEC subsequent to the filing of the Original Form 10-K.

2


PART IV
ITEM 15.    EXHIBITS AND FINANCIAL STATEMENT SCHEDULES
(a)(3)    Exhibits.
Exhibit
Number
 
 
 
Incorporated by Reference
 
Filed
Herewith
 
Exhibit Description
 
Form
 
File Number
 
Exhibit
 
Filing Date
 
2.1
 
 
8-K
 
001-36467
 
2.1
 
7/8/2016
 
 
3.1
 
 
8-K
 
001-36467
 
3.1
 
6/5/2014
 
 
3.2
 
 
8-K
 
001-36467
 
3.2
 
6/5/2014
 
 
4.1
 
 
S-1/A
 
333-193552
 
4.1
 
4/11/2014
 
 
4.2
 
 
S-1/A
 
333-193552
 
4.2
 
5/16/2014
 
 
4.3
 
 
8-K
 
001-36467
 
10.3
 
4/26/2016
 
 
4.4
 
 
8-K
 
001-36467
 
10.4
 
4/26/2016
 
 
4.5
 
 
8-K
 
001-36467
 
4.1
 
9/9/2016
 
 
4.6
 
 
S-1
 
333-193552
 
10.25
 
1/24/2014
 
 
4.7
 
 
S-1
 
333-193552
 
10.26
 
1/24/2014
 
 
4.8
 
 
10-K
 
001-36467
 
10.40
 
3/27/2015
 
 
4.9
 
 
8-K
 
001-36467
 
10.3
 
2/24/2017
 
 
4.10
 
 
8-K
 
001-36467
 
10.3
 
9/29/2017
 
 
4.11
 
 
8-K
 
001-36467
 
10.4
 
9/29/2017
 
 
4.12
 
 
8-K
 
001-36467
 
10.1
 
10/3/2017
 
 
10.1*
 
 
S-1
 
333-193552
 
10.1
 
1/24/2014
 
 
10.2.1*
 
 
S-1/A
 
333-193552
 
10.2
 
4/11/2014
 
 
10.2.2*
 
 
S-8
 
333-211893
 
10.1
 
6/7/2016
 
 
10.2.3*
 
 
S-8
 
333-218542
 
10.3
 
6/7/2017
 
 
10.3*
 
 
S-1
 
333-193552
 
10.4
 
1/24/2014
 
 

3


Exhibit
Number
 
 
 
Incorporated by Reference
 
Filed
Herewith
 
Exhibit Description
 
Form
 
File Number
 
Exhibit
 
Filing Date
 
10.4*
 
 
S-1
 
333-193552
 
10.5
 
1/24/2014
 
 
10.5*
 
 
8-K
 
001-36467
 
10.1
 
3/4/2016
 
 
10.6*
 
 
8-K
 
001-36467
 
10.1
 
10/12/2016
 
 
10.7*
 
 
10-K
 
001-36467
 
10.41
 
3/27/2015
 
 
10.8*
 
 
8-K
 
001-36467
 
10.2
 
3/4/2016
 
 
10.9*
 
 
S-8
 
333-211894
 
10.2
 
6/7/2016
 
 
10.10*
 
 
8-K
 
001-36467
 
10.1
 
8/12/2016
 
 
10.11*
 
 
S-8
 
333-214571
 
10.1
 
11/10/2016
 
 
10.12*
 
 
10-K
 
001-36467
 
10.6
 
3/25/2016
 
 
10.13*
 
 
10-Q
 
001-36467
 
10.1
 
11/10/2016
 
 
10.14*
 
 
10-Q
 
001-36467
 
10.2
 
11/10/2016
 
 
10.15.1
 
 
S-1
 
333-193552
 
10.33
 
1/24/2014
 
 
10.15.2
 
 
10-K
 
001-36467
 
10.33.2
 
3/27/2015
 
 
10.15.3
 
 
10-K
 
001-36467
 
10.33.3
 
3/27/2015
 
 
10.15.4
 
 
10-K
 
001-36467
 
10.15.4
 
3/30/2017
 
 
10.15.5
 
 
10-K
 
001-36467
 
10.15.5
 
3/30/2017
 
 
10.16
 
 
8-K
 
001-36467
 
10.1
 
1/6/2017
 
 
10.17
 
 
8-K
 
001-36467
 
10.1
 
4/26/2016
 
 
10.18
 
 
8-K
 
001-36467
 
10.2
 
4/26/2016
 
 
10.19
 
 
S-1
 
333-193552
 
10.23
 
1/24/2014
 
 

4


Exhibit
Number
 
 
 
Incorporated by Reference
 
Filed
Herewith
 
Exhibit Description
 
Form
 
File Number
 
Exhibit
 
Filing Date
 
10.20
 
 
S-1
 
333-193552
 
10.24
 
1/24/2014
 
 
10.21
 
 
8-K
 
001-36467
 
10.1
 
2/24/2017
 
 
10.22
 
 
8-K
 
001-36467
 
10.2
 
2/24/2017
 
 
10.23
 
 
8-K
 
001-36467
 
10.1
 
9/29/2017
 
 
10.24
 
 
8-K
 
001-36467
 
10.2
 
9/29/2017
 
 
10.25
 
 
8-K
 
001-36467
 
10.1
 
12/26/2017
 
 
10.26*
 
 
8-K
 
001-36467
 
10.2
 
12/26/2017
 
 
21.1
 
 
10-K
 
001-36467
 
21.1
 
3/30/2017
 
 
23.1
 
 
 
 
 
 
 
 
 
 
X
24.1
 
 
10-K
 
001-36467
 
24.1
 
2/28/2018
 
 
31.1
 
 
 
 
 
 
 
 
 
 
X
31.2
 
 
 
 
 
 
 
 
 
 
X
32.1#
 
 
10-K
 
001-36467
 
32.1
 
2/28/2018
 
 
101.INS
 
XBRL Instance Document
 
10-K
 
001-36467
 
101.INS
 
2/28/2018
 
 
101.SCH
 
XBRL Taxonomy Extension Schema Document
 
10-K
 
001-36467
 
101.SCH
 
2/28/2018
 
 
101.CAL
 
XBRL Taxonomy Extension Calculation Linkbase Document
 
10-K
 
001-36467
 
101.CAL
 
2/28/2018
 
 
101.DEF
 
XBRL Taxonomy Extension Definition Linkbase Document
 
10-K
 
001-36467
 
101.DEF
 
2/28/2018
 
 
101.LAB
 
XBRL Taxonomy Extension Label Linkbase Document
 
10-K
 
001-36467
 
101.LAB
 
2/28/2018
 
 
101.PRE
 
XBRL Taxonomy Extension Presentation Linkbase Document
 
10-K
 
001-36467
 
101.PRE
 
2/28/2018
 
 

5


 
*
Each a management contract or compensatory plan or arrangement required to be filed as an exhibit to this annual report on Form 10-K.
#
The information in this exhibit is furnished and deemed not filed with the Securities and Exchange Commission for purposes of section 18 of the Exchange Act of 1934, as amended, and is not to be incorporated by reference into any filing of Resonant Inc. under the Securities Act of 1933, as amended, or the Exchange Act of 1934, as amended, whether made before or after the date hereof, regardless of any general incorporation language in such filing.

6


SIGNATURES
Pursuant to the requirements of Section 13 or 15(d) of the Securities Exchange Act of 1934, the registrant has duly caused this report to be signed on its behalf by the undersigned, thereunto duly authorized.
Dated: March 16, 2018
Resonant Inc.
 
 
 
 
By:
/s/ Jeff Killian
 
 
Jeff Killian
 
 
Chief Financial Officer
 
 
(Principal Financial Officer)



S-1

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