Form 4 for AIP Arteris, Inc.
Accepted 2021-10-29 00:00:00 ET · period of report 2021-10-26 · accession 0001567619-21-019035 · 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 |
|---|---|---|---|---|---|---|---|---|---|---|---|
| D | 2021-10-29 | 2021-10-26 | AIP | Claussen Christian | Dir | A - Grant | $0.00 | +6,250 | 6,250 | New | $0 |
| DI | 2021-10-29 | 2021-10-29 | AIP | Claussen Christian | Dir | C - Cnv Deriv | — | +3.13M | 3.13M | New | — |
| DI | 2021-10-29 | 2021-10-29 | AIP | Claussen Christian | Dir | C - Cnv Deriv | $0.00 | -3.13M | 3.13M | -50% | $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 | 2021-10-26 | A | A | 6,250 | $0.00 | 6,250 | D | — | — | (F3) Includes 6,250 restricted stock units ("RSUs"), each of which represents a contingent right to receive one share of the Issuer's common stock. The RSUs will vest in full on the earlier of (i) the first anniversary of the grant date and (ii) immediately before the Annual Meeting following the grant date, subject to the reporting person continuing to provide services to Issuer's Board through such vesting date. The RSUs have no expiration date. (F4) Includes 6,250 restricted stock units. |
| 2 | Common | Common Stock | 2021-10-29 | C | A | 3,127,907 | — | 3,127,907 | I See Footnote | — | — | (F1) Each share of the Issuer's Series A Preferred Stock automatically converted into one (1) share of the Issuer's Common Stock immediately upon the closing of the Issuer's initial public offering. The shares had no expiration date. (F2) The reporting person is a General Partner of Ventech Capital F ("Ventech"). Investment and voting decisions for Ventech are made by Ventech's investment committee, which is governed by a non-executive board comprised of three or more individuals, and therefore the reporting person disclaims beneficial ownership except to the extent of his pecuniary interest therein, if any. |
| 3 | Derivative | Series A Preferred Stock | 2021-10-29 | C | D | 3,127,907 | $0.00 | 3,127,907 | I See Footnote | — · — to — | 3,127,907 Common Stock | (F2) The reporting person is a General Partner of Ventech Capital F ("Ventech"). Investment and voting decisions for Ventech are made by Ventech's investment committee, which is governed by a non-executive board comprised of three or more individuals, and therefore the reporting person disclaims beneficial ownership except to the extent of his pecuniary interest therein, if any. (F1) Each share of the Issuer's Series A Preferred Stock automatically converted into one (1) share of the Issuer's Common Stock immediately upon the closing of the Issuer's initial public offering. The shares had no expiration date. |