Form 4 for AIP Arteris, Inc.
Accepted 2023-12-05 00:00:00 ET · period of report 2023-12-01 · accession 0001562180-23-008139 · 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 |
|---|---|---|---|---|---|---|---|---|---|---|---|
| DMT | 2023-12-05 | 2023-12-01+ | AIP | Alpern Paul L | VP, GC | S - Sale+OE | $5.53 | -11.5K | 40.9K | -22% | -$63.6K |
| DMT | 2023-12-05 | 2023-12-01 | AIP | Alpern Paul L | VP, GC | M - OptEx | $0.5644 | +11.2K | 42.1K | +36% | +$6,350 |
| DMT | 2023-12-05 | 2023-12-01 | AIP | Alpern Paul L | VP, GC | M - OptEx | $0.00 | -11.2K | 180.0K | -6% | $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 | 2023-12-01 | S | D | 1,250 | $5.46 | 50,876 | D | — | — | |
| 2 | Common | Common Stock | 2023-12-04 | S | D | 251 | $5.33 | 40,625 | D | — | — | (F6) Includes 40,193 restricted stock units. |
| 3 | Common | Common Stock | 2023-12-01 | S | D | 10,000 | $5.54 | 40,876 | D | — | — | (F1) Transaction made pursuant to a 10b5-1 trading plan that was adopted by the Reporting Person on August 16 2023. (F4) The price reported in Column 4 is a weighted average sale price. These shares were sold in multiple transactions at prices ranging from $5.28 to $5.79 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. |
| 4 | Common | Common Stock | 2023-12-01 | M | A | 10,000 | $0.56 | 52,126 | D | — | — | (F3) 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. |
| 5 | Common | Common Stock | 2023-12-01 | M | A | 1,250 | $0.6 | 42,126 | D | — | — | (F2) 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. |
| 6 | Derivative | Common Stock | 2023-12-01 | M | D | 1,250 | $0.00 | 10,000 | D | $0.6 · — to 2030-07-22 | 1,250 Common Stock | (F2) 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. |
| 7 | Derivative | Common Stock | 2023-12-01 | M | D | 10,000 | $0.00 | 180,000 | D | $0.56 · — to 2029-10-23 | 10,000 Common Stock | (F3) 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. |