Chaouat-Fix Mihal 4/A

Accession 0000899243-21-049608

CIK 0001757715other

View on SEC.gov Company Profile

Filed

Dec 22, 7:00 PM ET

Accepted

Dec 23, 5:00 PM ET

Size

33.3 KB

Accession

0000899243-21-049608

Insider Transaction Report

Form 4/AAmended

Period: 2021-03-10

Aterian, Inc.ATER

Chaouat-Fix Mihal

Chief Product Officer

Transactions

Sale
Common Stock
2021-03-10$31.67/sh−16,615$526,119→ 306,825 total
Sale
Common Stock
2021-03-10$33.13/sh−2,049$67,885→ 304,776 total
Sale
Common Stock
2021-03-10$33.96/sh−11,429$388,162→ 293,347 total
Exercise/Conversion
Common Stock
2021-03-12$9.72/sh+862$8,379→ 259,887 total
Sale
Common Stock
2021-03-10$36.16/sh−13,224$478,220→ 272,569 total
Sale
Common Stock
2021-03-12$33.12/sh−32,139$1,064,392→ 259,058 total
Sale
Common Stock
2021-03-12$34.05/sh−33$1,124→ 259,025 total
Exercise/Conversion
Employee Stock Option (right to buy)
2021-03-12−862→ 140,163 total
Exercise: $9.72Exp: 2028-12-28→ Common Stock (862 underlying)
Sale
Common Stock
2021-03-10$35.13/sh−7,554$265,345→ 285,793 total
Sale
Common Stock
2021-03-10$37.16/sh−9,522$353,878→ 263,047 total
Exercise/Conversion
Common Stock
2021-03-12$4.80/sh+31,310$150,288→ 291,197 total
Exercise/Conversion
Employee Stock Option (right to buy)
2021-03-12−31,310→ 0 total
Exercise: $4.80Exp: 2025-06-05→ Common Stock (31,310 underlying)
Sale
Common Stock
2021-03-10$37.97/sh−2,047$77,733→ 261,000 total
Sale
Common Stock
2021-03-11$31.77/sh−1,975$62,745→ 259,025 total

Footnotes (13)

[F1]Shares were automatically sold by the Reporting Person on a non-discretionary basis solely to satisfy tax withholding obligations upon the previously scheduled vesting of restricted stock awards for which the March 10, 2021 vesting date was approved on December 14, 2020.
[F10]The price reported in Column 4 of Table I is a weighted average price. These shares were sold in multiple transactions at prices ranging from $33.00 to $34.00, inclusive. The holder undertakes to provide to the issuer, any security holder of the issuer, or staff of the Securities Exchange Commission, upon written request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote.
[F11]1/3rd of the number of shares subject to the option vested on October 11, 2019 and 1/36th of the number of shares subject to the option shall vest following each one month period thereafter, subject to the Reporting Person's continued service to the Issuer through each such vesting date.
[F12]All of the unvested shares subject to the option shall vest upon either: (i) the accumulation, by means of any transaction or series of related transactions, whether directly or indirectly, beneficially or of record, by any individual and/or entity of more than 50% the outstanding shares of common stock of the Issuer, whether by merger, consolidation, sale or other transfer of shares of the Issuer's common stock, so long as the holders of the Issuer's common stock, immediately after such transaction or series of transactions, hold less than 50% of the common stock of the Issuer or the voting securities of the surviving or acquiring entity or (ii) a sale of all or substantially all of the assets of the Issuer, which may include a license transaction.
[F13]1/4th of the number of shares subject to the option vested on June 16, 2015 and 1/48th of the number of shares subject to the option vested following each one month period of service thereafter.
[F2]The price reported in Column 4 of Table I is a weighted average price. These shares were sold in multiple transactions at prices ranging from $31.51 to $32.45, inclusive. The holder undertakes to provide to the issuer, any security holder of the issuer, or staff of the Securities Exchange Commission, upon written request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote.
[F3]The price reported in Column 4 of Table I is a weighted average price. These shares were sold in multiple transactions at prices ranging from $32.62 to $33.60, inclusive. The holder undertakes to provide to the issuer, any security holder of the issuer, or staff of the Securities Exchange Commission, upon written request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote.
[F4]The price reported in Column 4 of Table I is a weighted average price. These shares were sold in multiple transactions at prices ranging from $33.63 to $34.63, inclusive. The holder undertakes to provide to the issuer, any security holder of the issuer, or staff of the Securities Exchange Commission, upon written request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote.
[F5]The price reported in Column 4 of Table I is a weighted average price. These shares were sold in multiple transactions at prices ranging from $34.64 to $35.63, inclusive. The holder undertakes to provide to the issuer, any security holder of the issuer, or staff of the Securities Exchange Commission, upon written request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote.
[F6]The price reported in Column 4 of Table I is a weighted average price. These shares were sold in multiple transactions at prices ranging from $35.69 to $36.68, inclusive. The holder undertakes to provide to the issuer, any security holder of the issuer, or staff of the Securities Exchange Commission, upon written request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote.
[F7]The price reported in Column 4 of Table I is a weighted average price. These shares were sold in multiple transactions at prices ranging from $36.71 to $37.71, inclusive. The holder undertakes to provide to the issuer, any security holder of the issuer, or staff of the Securities Exchange Commission, upon written request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote.
[F8]The price reported in Column 4 of Table I is a weighted average price. These shares were sold in multiple transactions at prices ranging from $37.72 to $38.16, inclusive. The holder undertakes to provide to the issuer, any security holder of the issuer, or staff of the Securities Exchange Commission, upon written request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote.
[F9]The price reported in Column 4 of Table I is a weighted average price. These shares were sold in multiple transactions at prices ranging from $31.51 to $32.00, inclusive. The holder undertakes to provide to the issuer, any security holder of the issuer, or staff of the Securities Exchange Commission, upon written request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote.

Documents

1 file

4
doc4a.xml
FORM 4/A SUBMISSION

Issuer

Aterian, Inc.

CIK 0001757715

→

Entity typeother

Related Parties

filerCIK 0001778022

Filing Metadata

Form type: 4/A
Filed: Dec 22, 7:00 PM ET
Accepted: Dec 23, 5:00 PM ET
Size: 33.3 KB

View on SEC.gov