Form 4/A for ATER Aterian, Inc.
Accepted 2021-12-23 00:00:00 ET · period of report 2021-03-10 · accession 0000899243-21-049614 · SEC index · Original document
Summary rows
Aggregated the way they appear in lists: one row per insider, transaction code and security table.
| X | Filed | Traded | Ticker | Insider | Title | Type | Price | Qty | Owned | ΔOwn | Value |
|---|---|---|---|---|---|---|---|---|---|---|---|
| DA | 2021-12-23 | 2021-03-11 | ATER | Sarig Yaniv Zion | See Remarks, Dir | M - OptEx | $9.72 | +282.1K | 522.4K | +117% | +$2.74M |
| DMA | 2021-12-23 | 2021-03-10+ | ATER | Sarig Yaniv Zion | See Remarks, Dir | S - Sale+OE | $32.15 | -302.2K | 250.4K | -55% | -$9.72M |
| DA | 2021-12-23 | 2021-03-11 | ATER | Sarig Yaniv Zion | See Remarks, Dir | M - OptEx | $0.00 | -282.1K | 0 | -100% | $0 |
Purchase Sale Sale after option exercise All abbreviations
Every reported transaction
| # | Table | Security | Date | Code | A/D | Shares | Price | Owned after | Own | Exercise / expiry | Underlying | Footnotes |
|---|---|---|---|---|---|---|---|---|---|---|---|---|
| 1 | Common | Common Stock | 2021-03-11 | M | A | 282,051 | $9.72 | 522,383 | D | — | — | |
| 2 | Common | Common Stock | 2021-03-11 | S | D | 254,860 | $31.81 | 267,523 | D | — | — | (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 $31.445 to $32.445, 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 | Common | Common Stock | 2021-03-11 | S | D | 6,440 | $33.80 | 247,969 | D | — | — | (F11) 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 $33.53 to $34.52, 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 | Common | Common Stock | 2021-03-11 | S | D | 8,251 | $34.60 | 239,718 | D | — | — | (F12) 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 $34.60 to $34.7399, 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. (F13) 776,315 shares held of record by the Sarig-Bulow Family Trust previously reported as indirect ownership by the Reporting Person are not being reported on this Form 4 and will not be reported on future Form 4's by the Reporting Person because the Reporting Person does not beneficially own such shares pursuant to the arrangements of the Trust. |
| 5 | Common | Common Stock | 2021-03-10 | S | D | 5,211 | $31.66 | 254,615 | D | — | — | (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. |
| 6 | Common | Common Stock | 2021-03-10 | S | D | 636 | $33.13 | 253,979 | D | — | — | (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. |
| 7 | Common | Common Stock | 2021-03-11 | S | D | 13,114 | $32.90 | 254,409 | D | — | — | (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 $32.45 to $33.45, 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. |
| 8 | Common | Common Stock | 2021-03-10 | S | D | 638 | $37.97 | 240,332 | D | — | — | (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. |
| 9 | Common | Common Stock | 2021-03-10 | S | D | 2,970 | $37.16 | 240,970 | D | — | — | (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. |
| 10 | Common | Common Stock | 2021-03-10 | S | D | 4,123 | $36.16 | 243,940 | D | — | — | (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. |
| 11 | Common | Common Stock | 2021-03-10 | S | D | 2,353 | $35.13 | 248,063 | D | — | — | (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. |
| 12 | Common | Common Stock | 2021-03-10 | S | D | 3,563 | $33.96 | 250,416 | D | — | — | (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. |
| 13 | Derivative | Employee Stock Option (right to buy) | 2021-03-11 | M | D | 282,051 | $0.00 | 0 | D | $9.72 · — to 2028-12-28 | 282,051 Common Stock | (F14) Pursuant to the initial terms of the option, 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 would vest following each one month period thereafter, subject to the Reporting Person's continued service to the Issuer through each such vesting date. The Issuer accelerated the vesting of 60,000 shares subject to the option to March 11, 2021. |