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
Sec. Name Acquisiton - Disposition Date Amount Price Remaning Holdings Equity Swap Involved Form Type Code Nature of Ownership Explanation
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 Explanation
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
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
  1. 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.
  2. 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.
  3. 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.
  4. 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.
  5. 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.
  6. 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.
  7. 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.
  8. 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.
  9. 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.
  10. 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.
  11. 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.
  12. 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.
  13. 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.