Joseph A. Risico - 30 Jun 2021 Form 4 Insider Report for Aterian, Inc. (ATER)

Reporting relationship: Chief Legal Officer
Issuer ticker: ATER
Reported as of: 30 Jun 2021
Net transaction value: $0
SEC form: 4
Accepted by SEC: 02 Jul 2021, 17:06:04 UTC
Prior SEC filing: 02 Jul 2021
Next SEC filing: 23 Dec 2021
Source filing: View source filing
Reporting owner signature: /s/ Joseph A. Risico

Key filing fact

Joseph A. Risico filed Form 4 for Aterian, Inc. (ATER) on 02 Jul 2021.

Key facts

This page summarizes Joseph A. Risico's Form 4 filing for Aterian, Inc. (ATER).
3 reported transactions and 0 derivative rows are listed below.
Accepted by SEC: 02 Jul 2021, 17:06.

Change

Previous filing in this sequence was filed on 02 Jul 2021.
Current net transaction value: $0.

Research use

This tells you what this filing adds before you inspect full transaction and derivative tables.
You can trace every row back to the original SEC filing document.

Evidence

Filed on Form 4

Ownership activity is grounded in SEC Form 4 disclosures.

View source filing

Reported non-derivative transactions

Shares, units, or other non-derivative securities reported in this filing.

ATER transaction

Common Stock

Award

Transaction value: $0
Shares: +21,239
Change %: +15%
Price: $0.000000
Shares after: 161,368
Date: 30 Jun 2021
Ownership: Direct
Footnotes: F1, F2

ATER transaction

Common Stock

Award

Transaction value: $0
Shares: +2,000
Change %: +1.2%
Price: $0.000000
Shares after: 163,368
Date: 30 Jun 2021
Ownership: Direct
Footnotes: F3

ATER transaction

Common Stock

Award

Transaction value: $0
Shares: +96,000
Change %: +59%
Price: $0.000000
Shares after: 259,368
Date: 30 Jun 2021
Ownership: Direct
Footnotes: F4

^* marks a reported price that did not pass the local price check.

Additional SEC filing notes

Filing notes and footnotes

Explanation of responses 4 footnotes

Footnote F1

The restricted shares of common stock were granted pursuant to the Issuer's Amended and Restated 2019 Equity Plan (the "2019 Equity Plan") due to certain forfeitures of shares previously granted pursuant to the 2019 Equity Plan to a former employee of the Issuer. In the event of a forfeiture of shares granted under the 2019 Equity Plan, such shares are automatically reallocated to the remaining participants in the 2019 Equity Plan in proportion to the number of shares covered by outstanding awards granted under the 2019 Equity Plan that each such remaining participant holds.

Footnote F2

Comprised solely of shares of restricted common stock granted pursuant to the 2019 Equity Plan that are subject to vesting. The shares of restricted common stock shall vest in full on December 14, 2021. (3) Comprised solely of shares of restricted common stock granted pursuant to the Issuer's Amended and Restated 2018 Equity Incentive Plan (the "2018 Equity Plan") that are subject to vesting. The shares of restricted common stock shall vest in full on December 14, 2021, subject to the Reporting Person's continued service to the Issuer through such vesting date.

Footnote F3

Comprised solely of shares of restricted common stock granted pursuant to the Issuer's Amended and Restated 2018 Equity Incentive Plan (the "2018 Equity Plan") that are subject to vesting. The shares of restricted common stock shall vest in full on December 14, 2021, subject to the Reporting Person's continued service to the Issuer through such vesting date.

Footnote F4

Comprised solely of shares of restricted common stock granted pursuant to the 2018 Equity Plan that are subject to vesting. 1/3rd of the shares of restricted common stock shall vest on June 11, 2022, and 1/12th of shares of restricted common stock shall vest each quarterly period thereafter, subject to the Reporting Person's continued service to the Issuer through each such vesting date.