Form 4 for AIP Arteris, Inc.
Accepted 2021-10-29 00:00:00 ET · period of report 2021-10-26 · accession 0001567619-21-019038 · 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 | Cantwell Wayne C | Dir | A - Grant | $0.00 | +8,333 | 208.3K | +4% | $0 |
| DI | 2021-10-29 | 2021-10-29 | AIP | Cantwell Wayne C | Dir | P - Purchase | $18.75 | +1 | 38.8K | +0.0% | +$18.75 |
| DI | 2021-10-29 | 2021-10-29 | AIP | Cantwell Wayne C | Dir | C - Cnv Deriv | — | +38.8K | 38.8K | New | — |
| DI | 2021-10-29 | 2021-10-29 | AIP | Cantwell Wayne C | Dir | C - Cnv Deriv | $0.00 | -38.8K | 38.8K | -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 | 8,333 | $0.00 | 208,333 | D | — | — | (F2) Includes 8,333 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. (F3) Includes 58,333 restricted stock units. |
| 2 | Common | Common Stock | 2021-10-29 | P | A | 1 | $18.75 | 38,761 | I By: Crescendo Ventures 401K Profit Sharing Plan FBO Wayne Cantwell | — | — | |
| 3 | Common | Common Stock | 2021-10-29 | C | A | 38,760 | — | 38,760 | I By: Crescendo Ventures 401K Profit Sharing Plan FBO Wayne Cantwell | — | — | (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. |
| 4 | Derivative | Series A Preferred Stock | 2021-10-29 | C | D | 38,760 | $0.00 | 38,760 | I By: Crescendo Ventures 401K Profit Sharing Plan FBO Wayne Cantwell | — · — to — | 38,760 Common Stock | (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. |