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Filing Details

Accession Number:: 0000899243-21-049608
Form Type:: 4/A
Zero Holdings:: No
Publication Time:: 2021-12-23 17:00:27
Reporting Period:: 2021-03-10

Accepted Time:: 2021-12-23 17:00:27
Original Submission Date:: 2021-03-15
SEC Url:: Form 4 Filing

Issuer

Cik	Name	Symbol	Sector (SIC)	IRS No
1757715	Aterian Inc.	ATER	Electric Housewares & Fans (3634)	831739858

Insiders

Cik	Name	Reported Address	Insider Title	Director	Officer	Large Shareholder	Other
1778022	Mihal Chaouat-Fix	C/O Aterian, Inc. 37 E 18Th Street, 7Th Floor New York NY 10003	Chief Product Officer	No	Yes	No	No

Reported Non-Derivative Transactions

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Sec. Name	Acquisiton - Disposition	Date	Amount	Price	Remaning Holdings	Equity Swap Involved	Form Type	Code	Nature of Ownership
Common Stock	Disposition	2021-03-10	16,615	$31.67	306,825	No	4	S	Direct
Common Stock	Disposition	2021-03-10	2,049	$33.13	304,776	No	4	S	Direct
Common Stock	Disposition	2021-03-10	11,429	$33.96	293,347	No	4	S	Direct
Common Stock	Disposition	2021-03-10	7,554	$35.13	285,793	No	4	S	Direct
Common Stock	Disposition	2021-03-10	13,224	$36.16	272,569	No	4	S	Direct
Common Stock	Disposition	2021-03-10	9,522	$37.16	263,047	No	4	S	Direct
Common Stock	Disposition	2021-03-10	2,047	$37.97	261,000	No	4	S	Direct
Common Stock	Disposition	2021-03-11	1,975	$31.77	259,025	No	4	S	Direct
Common Stock	Acquisiton	2021-03-12	862	$9.72	259,887	No	4	M	Direct
Common Stock	Acquisiton	2021-03-12	31,310	$4.80	291,197	No	4	M	Direct
Common Stock	Disposition	2021-03-12	32,139	$33.12	259,058	No	4	S	Direct
Common Stock	Disposition	2021-03-12	33	$34.05	259,025	No	4	S	Direct

Equity Swap Involved	Form Type	Code	Nature of Ownership
No	4	S	Direct
No	4	S	Direct
No	4	S	Direct
No	4	S	Direct
No	4	S	Direct
No	4	S	Direct
No	4	S	Direct
No	4	S	Direct
No	4	M	Direct
No	4	M	Direct
No	4	S	Direct
No	4	S	Direct

Reported Derivative Transactions

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Sec. Name	Sec. Type	Acquisiton - Disposition	Date	Amount	Price	Amount - 2	Price - 2
Common Stock	Employee Stock Option (right to buy)	Disposition	2021-03-12	862	$0.00	862	$9.72
Common Stock	Employee Stock Option (right to buy)	Disposition	2021-03-12	31,310	$0.00	31,310	$4.80

Remaning Holdings	Exercise Date	Expiration Date	Equity Swap Involved	Transaction Form Type	Transaction Code	Nature of Ownership
140,163		2028-12-28	No	4	M	Direct
0		2025-06-05	No	4	M	Direct

Footnotes

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.
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.
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.
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.
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.
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.
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.
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.
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.
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.
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.
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.
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.