| Type | Sym | Class | Transaction | Value $ | Shares | Change % | * Price $ | Shares After | Date | Ownership | Footnotes |
|---|---|---|---|---|---|---|---|---|---|---|---|
| transaction | ATER | Common Stock | Sale | -$430K | -13.6K | -6.73% | $31.67* | 188K | Mar 10, 2021 | Direct | F1, F2 |
| transaction | ATER | Common Stock | Sale | -$55.5K | -1.67K | -0.89% | $33.13* | 186K | Mar 10, 2021 | Direct | F1, F3 |
| transaction | ATER | Common Stock | Sale | -$317K | -9.33K | -5% | $33.96* | 177K | Mar 10, 2021 | Direct | F1, F4 |
| transaction | ATER | Common Stock | Sale | -$217K | -6.17K | -3.48% | $35.13* | 171K | Mar 10, 2021 | Direct | F1, F5 |
| transaction | ATER | Common Stock | Sale | -$390K | -10.8K | -6.31% | $36.16* | 160K | Mar 10, 2021 | Direct | F1, F6 |
| transaction | ATER | Common Stock | Sale | -$289K | -7.78K | -4.86% | $37.16* | 152K | Mar 10, 2021 | Direct | F1, F7 |
| transaction | ATER | Common Stock | Sale | -$63.4K | -1.67K | -1.1% | $37.97* | 151K | Mar 10, 2021 | Direct | F1, F8 |
| transaction | ATER | Common Stock | Sale | -$51.3K | -1.61K | -1.07% | $31.77* | 149K | Mar 11, 2021 | Direct | F1, F9 |
| transaction | ATER | Common Stock | Options Exercise | $481K | +48.1K | +32.23% | $10.00* | 197K | Mar 12, 2021 | Direct | F10 |
| transaction | ATER | Common Stock | Sale | -$1.59M | -48K | -24.36% | $33.16* | 149K | Mar 12, 2021 | Direct | F1, F11 |
| transaction | ATER | Common Stock | Sale | -$1.12K | -33 | -0.02% | $34.05* | 149K | Mar 12, 2021 | Direct | F1 |
| Type | Sym | Class | Transaction | Value $ | Shares | Change % | * Price $ | Shares After | Date | Underlying Class | Amount | Exercise Price | Ownership | Footnotes |
|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|
| transaction | ATER | Employee Stock Option (right to buy) | Options Exercise | $0 | -48.1K | -69.43% | $0.00 | 21.2K | Mar 12, 2021 | Common Stock | 48.1K | $10.00 | Direct | F10, F12, F13 |
| Id | Content |
|---|---|
| F1 | The sales reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the Reporting Person on December 15, 2020. |
| F2 | The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $31.51 to $32.45, inclusive. The reporting person undertakes to provide Aterian, Inc. (the "Company"), any security holder of the Company, 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 herein in this footnote. |
| F3 | The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $32.62 to $33.60, inclusive. The reporting person undertakes to provide the Company, any security holder of the Company, 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 herein in this footnote. |
| F4 | The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $33.63 to $34.63, inclusive. The reporting person undertakes to provide the Company, any security holder of the Company, 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 herein in this footnote. |
| F5 | The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $34.64 to $35.63, inclusive. The reporting person undertakes to provide the Company, any security holder of the Company, 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 herein in this footnote. |
| F6 | The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $35.69 to $36.68, inclusive. The reporting person undertakes to provide the Company, any security holder of the Company, 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 herein in this footnote. |
| F7 | The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $36.71 to $37.71, inclusive. The reporting person undertakes to provide the Company, any security holder of the Company, 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 herein in this footnote. |
| F8 | The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $37.72 to $38.16, inclusive. The reporting person undertakes to provide the Company, any security holder of the Company, 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 herein in this footnote. |
| F9 | The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $31.51 to $32.00, inclusive. The reporting person undertakes to provide the Company, any security holder of the Company, 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 herein in this footnote. |
| F10 | The option exercise reported in this Form 4 was effected pursuant to a Rule 10b5-1 trading plan adopted by the Reporting Person on December 15, 2020. |
| F11 | The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $33.02 to $34.00, inclusive. The reporting person undertakes to provide the Company, any security holder of the Company, 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 herein in this footnote. |
| F12 | 1/3rd of the number of shares subject to the option vested on January 15, 2019 and 1/36th of the number of shares subject to the option shall vest following each one month period thereafter, subject to the Reporting Person's continued service to the Issuer through each such vesting date. |
| F13 | All of the unvested shares subject to the option shall vest upon either: (i) the accumulation, by means of any transaction or series of related transactions, whether directly or indirectly, beneficially or of record, by any individual and/or entity of more than 50% the outstanding shares of common stock of the Issuer, whether by merger, consolidation, sale or other transfer of shares of the Issuer's common stock, so long as the holders of the Issuer's common stock, immediately after such transaction or series of transactions, hold less than 50% of the common stock of the Issuer or the voting securities of the surviving or acquiring entity or (ii) a sale of all or substantially all of the assets of the Issuer, which may include a license transaction. |
This Form 4 is being amended and restated to include certain sales that occurred in connection with the reported option exercise, to correct the sales transactions that were previously reported (including the prices at which such sales occurred) and to correct the number of securities beneficially owned following the reported transactions.