Filing Details
- Accession Number:
- 0001562180-23-007761
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2023-11-17 17:19:31
- Reporting Period:
- 2023-11-15
- Accepted Time:
- 2023-11-17 17:19:31
- SEC Url:
- Form 4 Filing
Issuer
| Cik | Name | Symbol | Sector (SIC) | IRS No |
|---|---|---|---|---|
| 1667011 | Arteris Inc. | AIP | Semiconductors & Related Devices (3674) | 000000000 |
Insiders
| Cik | Name | Reported Address | Insider Title | Director | Officer | Large Shareholder | Other |
|---|---|---|---|---|---|---|---|
| 1888542 | L Paul Alpern | C/O Arteris, Inc. 900 E. Hamilton Ave., Suite 300 Campbell CA 95008 | Vp And General Counsel | No | No | 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 | Acquisiton | 2023-11-15 | 10,000 | $0.56 | 53,070 | No | 4 | M | Direct | |
| Common Stock | Acquisiton | 2023-11-15 | 7,218 | $0.60 | 60,288 | No | 4 | M | Direct | |
| Common Stock | Disposition | 2023-11-15 | 10,000 | $4.78 | 50,288 | No | 4 | S | Direct | |
| Common Stock | Disposition | 2023-11-15 | 7,218 | $4.78 | 43,070 | No | 4 | S | Direct | |
| Common Stock | Disposition | 2023-11-15 | 1,748 | $4.80 | 41,322 | No | 4 | S | Direct | |
| Common Stock | Disposition | 2023-11-15 | 446 | $4.85 | 40,876 | No | 4 | S | Direct |
| Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|
| No | 4 | M | Direct | |
| No | 4 | M | Direct | |
| No | 4 | S | Direct | |
| No | 4 | S | 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 | Common Stock | Disposition | 2023-11-15 | 7,218 | $0.00 | 7,218 | $0.60 |
| Common Stock | Common Stock | Disposition | 2023-11-15 | 10,000 | $0.00 | 10,000 | $0.56 |
| Remaning Holdings | Exercise Date | Expiration Date | Equity Swap Involved | Transaction Form Type | Transaction Code | Nature of Ownership |
|---|---|---|---|---|---|---|
| 11,250 | 2030-07-22 | No | 4 | M | Direct | |
| 190,000 | 2029-10-23 | No | 4 | M | Direct |
Footnotes
- Transaction made pursuant to a 10b5-1 trading plan that was adopted by the Reporting Person on August 16, 2023.
- 25% of the total shares vested on August 26, 2020; thereafter, 1/48th of the total shares have vested monthly for 3 years. beginning on September 26, 2020.
- 25% of the total shares vested on July 23, 2021; thereafter, 1/48th of the total shares vest monthly for 3 years. beginning on August 23, 2021.
- The price reported in Column 4 is a weighted average sale price. These shares were sold in multiple transactions at prices ranging from $4.60 to $4.98 inclusive. The reporting person undertakes to provide the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon 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 is a weighted average sale price. These shares were sold in multiple transactions at prices ranging from $4.60 to $4.94 inclusive. The reporting person undertakes to provide the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote.
- Includes 40,876 restricted stock units.
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