4/A//SEC Filing
Risico Joseph A 4/A
Accession 0000899243-21-049611
CIK 0001757715other
Filed
Dec 22, 7:00 PM ET
Accepted
Dec 23, 5:00 PM ET
Size
18.2 KB
Accession
0000899243-21-049611
Insider Transaction Report
Form 4/AAmended
Aterian, Inc.ATER
Risico Joseph A
General Counsel
Transactions
- Sale
Common Stock
2021-03-15$32.98/sh−13,628$449,473→ 178,924 total - Sale
Common Stock
2021-03-16$29.83/sh−38,756$1,156,266→ 140,129 total - Exercise/Conversion
Employee Stock Option (Right to Buy)
2021-03-15−111,524→ 26,937 totalExercise: $9.72Exp: 2028-12-28→ Common Stock (111,524 underlying) - Exercise/Conversion
Common Stock
2021-03-15$9.72/sh+111,524$1,084,013→ 290,409 total - Sale
Common Stock
2021-03-15$31.84/sh−41,319$1,315,589→ 192,552 total - Sale
Common Stock
2021-03-15$31.14/sh−56,538$1,760,497→ 233,871 total - Sale
Common Stock
2021-03-15$33.66/sh−39$1,313→ 178,885 total
Footnotes (6)
- [F1]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 $30.62 to $31.62, 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.
- [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 $31.63 to $32.63, 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.
- [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 $32.64 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 $29.26 to $30.25, 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]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.
- [F6]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.
Documents
Issuer
Aterian, Inc.
CIK 0001757715
Entity typeother
Related Parties
1- filerCIK 0001778024
Filing Metadata
- Form type
- 4/A
- Filed
- Dec 22, 7:00 PM ET
- Accepted
- Dec 23, 5:00 PM ET
- Size
- 18.2 KB