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Share Name | Share Symbol | Market | Type |
---|---|---|---|
Aterian Inc | NASDAQ:ATER | NASDAQ | Common Stock |
Price Change | % Change | Share Price | Bid Price | Offer Price | High Price | Low Price | Open Price | Shares Traded | Last Trade | |
---|---|---|---|---|---|---|---|---|---|---|
0.00 | 0.00% | 3.12 | 3.00 | 3.40 | 0 | 10:07:12 |
1. Name and Address of Reporting Person * Risico Joseph A | 2. Issuer Name and Ticker or Trading Symbol Aterian, Inc. [ ATER ] |
5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
_____ Director _____ 10% Owner __X__ Officer (give title below) _____ Other (specify below) Chief Legal Officer |
3. Date of Earliest Transaction
(MM/DD/YYYY)
| ||
4. If Amendment, Date Original Filed
(MM/DD/YYYY)
|
6. Individual or Joint/Group Filing
(Check Applicable Line)
_X
_ Form filed by One Reporting Person
___ Form filed by More than One Reporting Person |
Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned | ||||||||||
1.Title of Security (Instr. 3) | 2. Trans. Date | 2A. Deemed Execution Date, if any |
3. Trans. Code (Instr. 8) |
4. Securities Acquired (A) or Disposed of (D) (Instr. 3, 4 and 5) |
5. Amount of Securities Beneficially Owned Following Reported Transaction(s) (Instr. 3 and 4) | 6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4) | 7. Nature of Indirect Beneficial Ownership (Instr. 4) | |||
Code | V | Amount | (A) or (D) | Price | ||||||
Common Stock | 3/15/2021 | M | 111524 | A | $9.72 | 290409 | D | |||
Common Stock | 3/15/2021 | S | 56538 | D | $31.1383 (1) | 233871 | D | |||
Common Stock | 3/15/2021 | S | 41319 | D | $31.8398 (2) | 192552 | D | |||
Common Stock | 3/15/2021 | S | 13628 | D | $32.9816 (3) | 178924 | D | |||
Common Stock | 3/15/2021 | S | 39 | D | $33.66 | 178885 | D | |||
Common Stock | 3/16/2021 | S | 38756 | D | $29.8345 (4) | 140129 | D |
Table II - Derivative Securities Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities) | |||||||||||||||
1. Title of Derivate Security (Instr. 3) | 2. Conversion or Exercise Price of Derivative Security | 3. Trans. Date | 3A. Deemed Execution Date, if any | 4. Trans. Code (Instr. 8) | 5. Number of Derivative Securities Acquired (A) or Disposed of (D) (Instr. 3, 4 and 5) | 6. Date Exercisable and Expiration Date | 7. Title and Amount of Securities Underlying Derivative Security (Instr. 3 and 4) | 8. Price of Derivative Security (Instr. 5) | 9. Number of derivative Securities Beneficially Owned Following Reported Transaction(s) (Instr. 4) | 10. Ownership Form of Derivative Security: Direct (D) or Indirect (I) (Instr. 4) | 11. Nature of Indirect Beneficial Ownership (Instr. 4) | ||||
Code | V | (A) | (D) | Date Exercisable | Expiration Date | Title | Amount or Number of Shares | ||||||||
Employee Stock Option (Right to Buy) | $9.72 | 3/15/2021 | M | 111524 | (5)(6) | 12/28/2028 | Common Stock | 111524 | $0.00 | 26937 | D |
Remarks: This Form 4 is being amended and restated to delete certain footnotes included in the Form 4, as amended (the "Amended Form 4"). The Amended Form 4 inadvertently indicated that the transactions reported therein were effected pursuant to a Rule 10b5-1 trading plan adopted by the Reporting Person on December 14, 2020. |
Reporting Owners | |||||
Reporting Owner Name / Address | |||||
Director | 10% Owner | Officer | Other | ||
Risico Joseph A C/O ATERIAN, INC. 37 E 18TH STREET, 7TH FLOOR NEW YORK, NY 10003 | Chief Legal Officer |
Signatures | ||
/s/Joseph A. Risico | 12/23/2021 | |
**Signature of Reporting Person | Date |
1 Year Aterian Chart |
1 Month Aterian Chart |
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