Reported relationships
Latest disclosed role at each company.
| Company | Last reported as | Report date | Published |
|---|---|---|---|
| Aterian, Inc.ATER · Entity 8078 | Chief Revenue Officer | March 10, 2021 | December 23, 2021 |
Disclosed balances
About these balances
Latest available filing per company, not a reconstructed current portfolio. Matching sequences show the last reported balance with all source rows expandable; grouping alone does not establish account ownership. Do not add unresolved positions together. Filings may omit unchanged positions, and amendments may correct only part of an older disclosure. Jointly reported shares are not necessarily this owner's personal holdings.
Aterian, Inc.
Report date March 10, 2021 · Filed December 23, 2021 · Amendment
Amendment: balances below belong to this corrected disclosure, not necessarily a complete replacement of earlier positions.
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | Direct | 230,358 |
Last balance in matching sequence
After 2021-03-12 transaction · row 12
Source-order balances reconcile. Account continuity and personal attribution are not independently verified.
12 source rowsRow 1 · 2021-03-10 · Sale · Disposed 17,700 · Balance 281,392 F1: Shares were automatically sold by the Reporting Person on a non-discretionary basis solely to satisfy tax withholding obligations upon the previously scheduled vesting of restricted stock awards for which the March 10, 2021 vesting date was approved on December 14, 2020. F2: The price reported in Column 4 of Table I is a weighted average price. These shares were sold in multiple transactions at prices ranging from $31.51 to $32.45, inclusive. The holder undertakes to provide to the issuer, any security holder of the issuer, or staff of the Securities Exchange Commission, upon written request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote. Row 2 · 2021-03-10 · Sale · Disposed 2,190 · Balance 279,202 F1: Shares were automatically sold by the Reporting Person on a non-discretionary basis solely to satisfy tax withholding obligations upon the previously scheduled vesting of restricted stock awards for which the March 10, 2021 vesting date was approved on December 14, 2020. F3: The price reported in Column 4 of Table I is a weighted average price. These shares were sold in multiple transactions at prices ranging from $32.62 to $33.60, inclusive. The holder undertakes to provide to the issuer, any security holder of the issuer, or staff of the Securities Exchange Commission, upon written request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote. Row 3 · 2021-03-10 · Sale · Disposed 12,202 · Balance 267,000 F1: Shares were automatically sold by the Reporting Person on a non-discretionary basis solely to satisfy tax withholding obligations upon the previously scheduled vesting of restricted stock awards for which the March 10, 2021 vesting date was approved on December 14, 2020. F4: The price reported in Column 4 of Table I is a weighted average price. These shares were sold in multiple transactions at prices ranging from $33.63 to $34.63, inclusive. The holder undertakes to provide to the issuer, any security holder of the issuer, or staff of the Securities Exchange Commission, upon written request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote. Row 4 · 2021-03-10 · Sale · Disposed 8,071 · Balance 258,929 F1: Shares were automatically sold by the Reporting Person on a non-discretionary basis solely to satisfy tax withholding obligations upon the previously scheduled vesting of restricted stock awards for which the March 10, 2021 vesting date was approved on December 14, 2020. F5: The price reported in Column 4 of Table I is a weighted average price. These shares were sold in multiple transactions at prices ranging from $34.64 to $35.63, inclusive. The holder undertakes to provide to the issuer, any security holder of the issuer, or staff of the Securities Exchange Commission, upon written request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote. Row 5 · 2021-03-10 · Sale · Disposed 14,108 · Balance 244,821 F1: Shares were automatically sold by the Reporting Person on a non-discretionary basis solely to satisfy tax withholding obligations upon the previously scheduled vesting of restricted stock awards for which the March 10, 2021 vesting date was approved on December 14, 2020. F6: The price reported in Column 4 of Table I is a weighted average price. These shares were sold in multiple transactions at prices ranging from $35.69 to $36.68, inclusive. The holder undertakes to provide to the issuer, any security holder of the issuer, or staff of the Securities Exchange Commission, upon written request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote. Row 6 · 2021-03-10 · Sale · Disposed 10,169 · Balance 234,652 F1: Shares were automatically sold by the Reporting Person on a non-discretionary basis solely to satisfy tax withholding obligations upon the previously scheduled vesting of restricted stock awards for which the March 10, 2021 vesting date was approved on December 14, 2020. F7: The price reported in Column 4 of Table I is a weighted average price. These shares were sold in multiple transactions at prices ranging from $36.71 to $37.71, inclusive. The holder undertakes to provide to the issuer, any security holder of the issuer, or staff of the Securities Exchange Commission, upon written request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote. Row 7 · 2021-03-10 · Sale · Disposed 2,187 · Balance 232,465 F1: Shares were automatically sold by the Reporting Person on a non-discretionary basis solely to satisfy tax withholding obligations upon the previously scheduled vesting of restricted stock awards for which the March 10, 2021 vesting date was approved on December 14, 2020. F8: The price reported in Column 4 of Table I is a weighted average price. These shares were sold in multiple transactions at prices ranging from $37.72 to $38.16, inclusive. The holder undertakes to provide to the issuer, any security holder of the issuer, or staff of the Securities Exchange Commission, upon written request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote. Row 8 · 2021-03-11 · Sale · Disposed 2,107 · Balance 230,358 F1: Shares were automatically sold by the Reporting Person on a non-discretionary basis solely to satisfy tax withholding obligations upon the previously scheduled vesting of restricted stock awards for which the March 10, 2021 vesting date was approved on December 14, 2020. F9: The price reported in Column 4 of Table I is a weighted average price. These shares were sold in multiple transactions at prices ranging from $31.51 to $32.00, inclusive. The holder undertakes to provide to the issuer, any security holder of the issuer, or staff of the Securities Exchange Commission, upon written request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote. (10) The price reported in Column 4 of Table I is a weighted average price. These shares were sold in multiple transactions at prices ranging from $34.28 to $34.66, inclusive. The holder undertakes to provide to the issuer, any security holder of the issuer, or staff of the Securities Exchange Commission, upon written request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote. Row 9 · 2021-03-11 · Exercise / conversion · Acquired 20,000 · Balance 250,358 Row 10 · 2021-03-11 · Sale · Disposed 20,000 · Balance 230,358 F10: The price reported in Column 4 of Table I is a weighted average price. These shares were sold in multiple transactions at prices ranging from $34.28 to $34.66, inclusive. The holder undertakes to provide to the issuer, any security holder of the issuer, or staff of the Securities Exchange Commission, upon written request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote. Row 11 · 2021-03-12 · Exercise / conversion · Acquired 20,000 · Balance 250,358 Row 12 · 2021-03-12 · Sale · Disposed 20,000 · Balance 230,358 F11: The price reported in Column 4 of Table I is a weighted average price. These shares were sold in multiple transactions at prices ranging from $32.55 to $33.40, inclusive. The holder undertakes to provide to the issuer, any security holder of the issuer, or staff of the Securities Exchange Commission, upon written request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote. |
| Employee Stock Option (right to buy)SEC Table II · derivative / convertible security · Conversion / exercise price $9.72 · Expires 2028-12-28 | Direct | 146,666 |
Reported balance
After 2021-03-11 transaction · row 13
Amendment: may correct only part of an earlier disclosure.
1 source rowRow 13 · 2021-03-11 · Exercise / conversion · Disposed 20,000 · Balance 146,666 F12: 1/3rd of the number of shares subject to the option vested on October 11, 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. F14: Includes an option exercisable for 166,666 shares previously held by ELZ Ventures LTD, an entity of which the Reporting Person is the sole owner, which were transferred by ELZ Ventures LTD to the Reporting Person on December 14, 2020 and are now owned directly by the Reporting Person. |
| Employee Stock Option (right to buy)SEC Table II · derivative / convertible security · Conversion / exercise price $9.72 · Expires 2028-12-28 | Direct | 126,666 |
Reported balance
After 2021-03-12 transaction · row 14
Amendment: may correct only part of an earlier disclosure.
1 source rowRow 14 · 2021-03-12 · Exercise / conversion · Disposed 20,000 · Balance 126,666 F12: 1/3rd of the number of shares subject to the option vested on October 11, 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. F14: Includes an option exercisable for 166,666 shares previously held by ELZ Ventures LTD, an entity of which the Reporting Person is the sole owner, which were transferred by ELZ Ventures LTD to the Reporting Person on December 14, 2020 and are now owned directly by the Reporting Person. |
Filing footnotes · ownership attribution and instrument terms
F1: Shares were automatically sold by the Reporting Person on a non-discretionary basis solely to satisfy tax withholding obligations upon the previously scheduled vesting of restricted stock awards for which the March 10, 2021 vesting date was approved on December 14, 2020.
F2: The price reported in Column 4 of Table I is a weighted average price. These shares were sold in multiple transactions at prices ranging from $31.51 to $32.45, inclusive. The holder undertakes to provide to the issuer, any security holder of the issuer, or staff of the Securities Exchange Commission, upon written request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote.
F3: The price reported in Column 4 of Table I is a weighted average price. These shares were sold in multiple transactions at prices ranging from $32.62 to $33.60, inclusive. The holder undertakes to provide to the issuer, any security holder of the issuer, or staff of the Securities Exchange Commission, upon written request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote.
F4: The price reported in Column 4 of Table I is a weighted average price. These shares were sold in multiple transactions at prices ranging from $33.63 to $34.63, inclusive. The holder undertakes to provide to the issuer, any security holder of the issuer, or staff of the Securities Exchange Commission, upon written request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote.
F5: The price reported in Column 4 of Table I is a weighted average price. These shares were sold in multiple transactions at prices ranging from $34.64 to $35.63, inclusive. The holder undertakes to provide to the issuer, any security holder of the issuer, or staff of the Securities Exchange Commission, upon written request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote.
F6: The price reported in Column 4 of Table I is a weighted average price. These shares were sold in multiple transactions at prices ranging from $35.69 to $36.68, inclusive. The holder undertakes to provide to the issuer, any security holder of the issuer, or staff of the Securities Exchange Commission, upon written request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote.
F7: The price reported in Column 4 of Table I is a weighted average price. These shares were sold in multiple transactions at prices ranging from $36.71 to $37.71, inclusive. The holder undertakes to provide to the issuer, any security holder of the issuer, or staff of the Securities Exchange Commission, upon written request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote.
F8: The price reported in Column 4 of Table I is a weighted average price. These shares were sold in multiple transactions at prices ranging from $37.72 to $38.16, inclusive. The holder undertakes to provide to the issuer, any security holder of the issuer, or staff of the Securities Exchange Commission, upon written request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote.
F9: The price reported in Column 4 of Table I is a weighted average price. These shares were sold in multiple transactions at prices ranging from $31.51 to $32.00, inclusive. The holder undertakes to provide to the issuer, any security holder of the issuer, or staff of the Securities Exchange Commission, upon written request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote. (10) The price reported in Column 4 of Table I is a weighted average price. These shares were sold in multiple transactions at prices ranging from $34.28 to $34.66, inclusive. The holder undertakes to provide to the issuer, any security holder of the issuer, or staff of the Securities Exchange Commission, upon written request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote.
F10: The price reported in Column 4 of Table I is a weighted average price. These shares were sold in multiple transactions at prices ranging from $34.28 to $34.66, inclusive. The holder undertakes to provide to the issuer, any security holder of the issuer, or staff of the Securities Exchange Commission, upon written request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote.
F11: The price reported in Column 4 of Table I is a weighted average price. These shares were sold in multiple transactions at prices ranging from $32.55 to $33.40, inclusive. The holder undertakes to provide to the issuer, any security holder of the issuer, or staff of the Securities Exchange Commission, upon written request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote.
F12: 1/3rd of the number of shares subject to the option vested on October 11, 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.
F14: Includes an option exercisable for 166,666 shares previously held by ELZ Ventures LTD, an entity of which the Reporting Person is the sole owner, which were transferred by ELZ Ventures LTD to the Reporting Person on December 14, 2020 and are now owned directly by the Reporting Person.
Transaction history
JSON APIPurchases/sales include open-market and private transactions. Plan disclosure applies to the filing; individual rows may differ. “Not disclosed” is not “unplanned.”
The cutoff filters transaction history only. Company summaries and owner relationships show the latest available disclosures. Parser corrections can improve historical records.
| Transaction date | Company | Activity / security | Shares / units | Reported price | Reported value | Details |
|---|---|---|---|---|---|---|
| December 22, 2021 Filed Dec 23, 2021 22:00 UTC | Aterian, Inc. ATER · Entity 8078 | SaleCommon Stock | 103,737 | $4.16 | $431,545.92 |
DisclosureSEC source: 0000899243-21-049613 · doc4.xml · nonDerivative · entry 1 Pascal Tomer · CIK 0001778646 · Chief Revenue Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 198,321 F1 · kind: Shares were automatically sold by the Reporting Person on a non-discretionary basis solely to satisfy tax withholding obligations upon the vesting of restricted stock awards F2 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $4.07 to $4.33, 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. Read SEC document |
| June 30, 2021 Filed Jul 2, 2021 21:05 UTC | Aterian, Inc. ATER · Entity 8078 | GrantCommon Stock | 96,000 | $0.00 | $0.00 |
DisclosureSEC source: 0000899243-21-027259 · doc4.xml · nonDerivative · entry 3 Pascal Tomer · CIK 0001778646 · Chief Revenue Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 305,569 F4 · shares: 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. Read SEC document |
| June 30, 2021 Filed Jul 2, 2021 21:05 UTC | Aterian, Inc. ATER · Entity 8078 | GrantCommon Stock | 2,400 | $0.00 | $0.00 |
DisclosureSEC source: 0000899243-21-027259 · doc4.xml · nonDerivative · entry 2 Pascal Tomer · CIK 0001778646 · Chief Revenue Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 209,569 F3 · shares: 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. Read SEC document |
| June 30, 2021 Filed Jul 2, 2021 21:05 UTC | Aterian, Inc. ATER · Entity 8078 | GrantCommon Stock | 33,630 | $0.00 | $0.00 |
DisclosureSEC source: 0000899243-21-027259 · doc4.xml · nonDerivative · entry 1 Pascal Tomer · CIK 0001778646 · Chief Revenue Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 207,169 F1 · kind: 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. F2 · shares: 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. Read SEC document |
| May 19, 2021 Filed Jul 2, 2021 21:01 UTC | Aterian, Inc. ATER · Entity 8078 | SaleCommon Stock | 56,819 | $14.68 | $833,972.24 |
DisclosureSEC source: 0000899243-21-027249 · doc4.xml · nonDerivative · entry 1 Pascal Tomer · CIK 0001778646 · Chief Revenue Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 173,539 F1 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $14.40 to $15.00, 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. Read SEC document |
| March 16, 2021 Filed Mar 18, 2021 01:19 UTC | Aterian, Inc. MWK · Entity 8078 | Exercise / conversionEmployee Stock Option (right to buy) · Derivative | 20,000 | $0.00 Strike: $9.72 | $0.00 |
DisclosureSEC source: 0000899243-21-012353 · doc4.xml · derivative · entry 4 Pascal Tomer · CIK 0001778646 · Chief Revenue Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 86,666 Underlying: Common Stock · 20,000 shares Expires 2028-12-28 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · kind: 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 14, 2020. F2 · derivative.exercise_date: 1/3rd of the number of shares subject to the option vested on October 11, 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. F3 · derivative.exercise_date: 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. Read SEC document |
| March 16, 2021 Filed Mar 18, 2021 01:19 UTC | Aterian, Inc. MWK · Entity 8078 | Exercise / conversionCommon Stock | 20,000 | $9.72 | $194,400.00 |
DisclosureSEC source: 0000899243-21-012353 · doc4.xml · nonDerivative · entry 2 Pascal Tomer · CIK 0001778646 · Chief Revenue Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 310,358 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · kind: 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 14, 2020. Read SEC document |
| March 16, 2021 Filed Jul 2, 2021 21:01 UTC Amendment | Aterian, Inc. ATER · Entity 8078 | Exercise / conversionEmployee Stock Option (right to buy) · Derivative | 20,000 | $0.00 Strike: $9.72 | $0.00 |
DisclosureSEC source: 0000899243-21-027247 · doc4a.xml · derivative · entry 6 Pascal Tomer · CIK 0001778646 · Chief Revenue Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 86,666 Underlying: Common Stock · 20,000 shares Expires 2028-12-28 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · kind: 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 14, 2020. F5 · derivative.exercise_date: 1/3rd of the number of shares subject to the option vested on October 11, 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. F6 · derivative.exercise_date: 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. Read SEC document |
| March 16, 2021 Filed Jul 2, 2021 21:01 UTC Amendment | Aterian, Inc. ATER · Entity 8078 | SaleCommon Stock | 20,000 | $30.04 | $600,706.00 |
DisclosureSEC source: 0000899243-21-027247 · doc4a.xml · nonDerivative · entry 4 Pascal Tomer · CIK 0001778646 · Chief Revenue Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 230,358 F2 · kind: The sales reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the Reporting Person on December 14, 2020. F4 · price: The price reported in Column 4 of Table I is a weighted average price. These shares were sold in multiple transactions at prices ranging from $29.81 to $30.60, inclusive. The holder undertakes to provide to the issuer, any security holder of the issuer, or staff of the Securities Exchange Commission, upon written request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote. Read SEC document |
| March 16, 2021 Filed Jul 2, 2021 21:01 UTC Amendment | Aterian, Inc. ATER · Entity 8078 | Exercise / conversionCommon Stock | 20,000 | $9.72 | $194,400.00 |
DisclosureSEC source: 0000899243-21-027247 · doc4a.xml · nonDerivative · entry 3 Pascal Tomer · CIK 0001778646 · Chief Revenue Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 250,358 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · kind: 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 14, 2020. Read SEC document |
| March 16, 2021 Filed Dec 23, 2021 22:00 UTC Amendment | Aterian, Inc. ATER · Entity 8078 | Exercise / conversionEmployee Stock Option (right to buy) · Derivative | 20,000 | $0.00 Strike: $9.72 | $0.00 |
DisclosureSEC source: 0000899243-21-049609 · doc4a.xml · derivative · entry 6 Pascal Tomer · CIK 0001778646 · Chief Revenue Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 86,666 Underlying: Common Stock · 20,000 shares Expires 2028-12-28 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F3 · derivative.exercise_date: 1/3rd of the number of shares subject to the option vested on October 11, 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. F4 · derivative.exercise_date: 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. Read SEC document |
| March 16, 2021 Filed Dec 23, 2021 22:00 UTC Amendment | Aterian, Inc. ATER · Entity 8078 | SaleCommon Stock | 20,000 | $30.04 | $600,706.00 |
DisclosureSEC source: 0000899243-21-049609 · doc4a.xml · nonDerivative · entry 4 Pascal Tomer · CIK 0001778646 · Chief Revenue Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 230,358 F2 · price: The price reported in Column 4 of Table I is a weighted average price. These shares were sold in multiple transactions at prices ranging from $29.81 to $30.60, inclusive. The holder undertakes to provide to the issuer, any security holder of the issuer, or staff of the Securities Exchange Commission, upon written request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote. Read SEC document |
| March 16, 2021 Filed Dec 23, 2021 22:00 UTC Amendment | Aterian, Inc. ATER · Entity 8078 | Exercise / conversionCommon Stock | 20,000 | $9.72 | $194,400.00 |
DisclosureSEC source: 0000899243-21-049609 · doc4a.xml · nonDerivative · entry 3 Pascal Tomer · CIK 0001778646 · Chief Revenue Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 250,358 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. Read SEC document |
| March 15, 2021 Filed Mar 18, 2021 01:19 UTC | Aterian, Inc. MWK · Entity 8078 | Exercise / conversionEmployee Stock Option (right to buy) · Derivative | 20,000 | $0.00 Strike: $9.72 | $0.00 |
DisclosureSEC source: 0000899243-21-012353 · doc4.xml · derivative · entry 3 Pascal Tomer · CIK 0001778646 · Chief Revenue Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 106,666 Underlying: Common Stock · 20,000 shares Expires 2028-12-28 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · kind: 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 14, 2020. F2 · derivative.exercise_date: 1/3rd of the number of shares subject to the option vested on October 11, 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. F3 · derivative.exercise_date: 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. Read SEC document |
| March 15, 2021 Filed Mar 18, 2021 01:19 UTC | Aterian, Inc. MWK · Entity 8078 | Exercise / conversionCommon Stock | 20,000 | $9.72 | $194,400.00 |
DisclosureSEC source: 0000899243-21-012353 · doc4.xml · nonDerivative · entry 1 Pascal Tomer · CIK 0001778646 · Chief Revenue Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 290,358 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · kind: 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 14, 2020. Read SEC document |
| March 15, 2021 Filed Jul 2, 2021 21:01 UTC Amendment | Aterian, Inc. ATER · Entity 8078 | Exercise / conversionEmployee Stock Option (right to buy) · Derivative | 20,000 | $0.00 Strike: $9.72 | $0.00 |
DisclosureSEC source: 0000899243-21-027247 · doc4a.xml · derivative · entry 5 Pascal Tomer · CIK 0001778646 · Chief Revenue Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 106,666 Underlying: Common Stock · 20,000 shares Expires 2028-12-28 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · kind: 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 14, 2020. F5 · derivative.exercise_date: 1/3rd of the number of shares subject to the option vested on October 11, 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. F6 · derivative.exercise_date: 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. Read SEC document |
| March 15, 2021 Filed Jul 2, 2021 21:01 UTC Amendment | Aterian, Inc. ATER · Entity 8078 | SaleCommon Stock | 20,000 | $30.52 | $610,336.00 |
DisclosureSEC source: 0000899243-21-027247 · doc4a.xml · nonDerivative · entry 2 Pascal Tomer · CIK 0001778646 · Chief Revenue Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 230,358 F2 · kind: The sales reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the Reporting Person on December 14, 2020. F3 · price: The price reported in Column 4 of Table I is a weighted average price. These shares were sold in multiple transactions at prices ranging from $30.05 to $31.04, inclusive. The holder undertakes to provide to the issuer, any security holder of the issuer, or staff of the Securities Exchange Commission, upon written request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote. Read SEC document |
| March 15, 2021 Filed Jul 2, 2021 21:01 UTC Amendment | Aterian, Inc. ATER · Entity 8078 | Exercise / conversionCommon Stock | 20,000 | $9.72 | $194,400.00 |
DisclosureSEC source: 0000899243-21-027247 · doc4a.xml · nonDerivative · entry 1 Pascal Tomer · CIK 0001778646 · Chief Revenue Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 250,358 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · kind: 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 14, 2020. Read SEC document |
| March 15, 2021 Filed Dec 23, 2021 22:00 UTC Amendment | Aterian, Inc. ATER · Entity 8078 | Exercise / conversionEmployee Stock Option (right to buy) · Derivative | 20,000 | $0.00 Strike: $9.72 | $0.00 |
DisclosureSEC source: 0000899243-21-049609 · doc4a.xml · derivative · entry 5 Pascal Tomer · CIK 0001778646 · Chief Revenue Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 106,666 Underlying: Common Stock · 20,000 shares Expires 2028-12-28 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F3 · derivative.exercise_date: 1/3rd of the number of shares subject to the option vested on October 11, 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. F4 · derivative.exercise_date: 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. Read SEC document |
| March 15, 2021 Filed Dec 23, 2021 22:00 UTC Amendment | Aterian, Inc. ATER · Entity 8078 | SaleCommon Stock | 20,000 | $30.52 | $610,336.00 |
DisclosureSEC source: 0000899243-21-049609 · doc4a.xml · nonDerivative · entry 2 Pascal Tomer · CIK 0001778646 · Chief Revenue Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 230,358 F1 · price: The price reported in Column 4 of Table I is a weighted average price. These shares were sold in multiple transactions at prices ranging from $30.05 to $31.04, inclusive. The holder undertakes to provide to the issuer, any security holder of the issuer, or staff of the Securities Exchange Commission, upon written request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote. Read SEC document |
| March 15, 2021 Filed Dec 23, 2021 22:00 UTC Amendment | Aterian, Inc. ATER · Entity 8078 | Exercise / conversionCommon Stock | 20,000 | $9.72 | $194,400.00 |
DisclosureSEC source: 0000899243-21-049609 · doc4a.xml · nonDerivative · entry 1 Pascal Tomer · CIK 0001778646 · Chief Revenue Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 250,358 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. Read SEC document |
| March 12, 2021 Filed Mar 16, 2021 01:51 UTC | Aterian, Inc. MWK · Entity 8078 | Exercise / conversionEmployee Stock Option (right to buy) · Derivative | 20,000 | $0.00 Strike: $9.72 | $0.00 |
DisclosureSEC source: 0000899243-21-011834 · doc4.xml · derivative · entry 5 Pascal Tomer · CIK 0001778646 · Chief Revenue Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 126,666 Underlying: Common Stock · 20,000 shares Expires 2028-12-28 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · kind: 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 14, 2020. F3 · derivative.exercise_date: 1/3rd of the number of shares subject to the option vested on October 11, 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. F4 · derivative.exercise_date: 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. F5 · ownership.direct: Includes an option exercisable for 166,666 shares previously held by ELZ Ventures LTD, an entity of which the Reporting Person is the sole owner, which were transferred by ELZ Ventures LTD to the Reporting Person on December 14, 2020 and are now owned directly by the Reporting Person. Read SEC document |
| March 12, 2021 Filed Mar 16, 2021 01:51 UTC | Aterian, Inc. MWK · Entity 8078 | Exercise / conversionCommon Stock | 20,000 | $9.72 | $194,400.00 |
DisclosureSEC source: 0000899243-21-011834 · doc4.xml · nonDerivative · entry 3 Pascal Tomer · CIK 0001778646 · Chief Revenue Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 270,358 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · kind: 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 14, 2020. Read SEC document |
| March 12, 2021 Filed Jul 2, 2021 21:01 UTC Amendment | Aterian, Inc. ATER · Entity 8078 | Exercise / conversionEmployee Stock Option (right to buy) · Derivative | 20,000 | $0.00 Strike: $9.72 | $0.00 |
DisclosureSEC source: 0000899243-21-027251 · doc4a.xml · derivative · entry 14 Pascal Tomer · CIK 0001778646 · Chief Revenue Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 126,666 Underlying: Common Stock · 20,000 shares Expires 2028-12-28 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F10 · kind: 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 14, 2020. F13 · derivative.exercise_date: 1/3rd of the number of shares subject to the option vested on October 11, 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. F14 · derivative.exercise_date: 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. F15 · ownership.direct: Includes an option exercisable for 166,666 shares previously held by ELZ Ventures LTD, an entity of which the Reporting Person is the sole owner, which were transferred by ELZ Ventures LTD to the Reporting Person on December 14, 2020 and are now owned directly by the Reporting Person. Read SEC document |
| March 12, 2021 Filed Jul 2, 2021 21:01 UTC Amendment | Aterian, Inc. ATER · Entity 8078 | SaleCommon Stock | 20,000 | $32.88 | $657,656.00 |
DisclosureSEC source: 0000899243-21-027251 · doc4a.xml · nonDerivative · entry 12 Pascal Tomer · CIK 0001778646 · Chief Revenue Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 230,358 F1 · kind: The sales reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the Reporting Person on December 14, 2020. F12 · price: The price reported in Column 4 of Table I is a weighted average price. These shares were sold in multiple transactions at prices ranging from $32.55 to $33.40, inclusive. The holder undertakes to provide to the issuer, any security holder of the issuer, or staff of the Securities Exchange Commission, upon written request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote. Read SEC document |
| March 12, 2021 Filed Jul 2, 2021 21:01 UTC Amendment | Aterian, Inc. ATER · Entity 8078 | Exercise / conversionCommon Stock | 20,000 | $9.72 | $194,400.00 |
DisclosureSEC source: 0000899243-21-027251 · doc4a.xml · nonDerivative · entry 11 Pascal Tomer · CIK 0001778646 · Chief Revenue Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 250,358 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F10 · kind: 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 14, 2020. Read SEC document |
| March 12, 2021 Filed Dec 23, 2021 22:01 UTC Amendment | Aterian, Inc. ATER · Entity 8078 | Exercise / conversionEmployee Stock Option (right to buy) · Derivative | 20,000 | $0.00 Strike: $9.72 | $0.00 |
DisclosureSEC source: 0000899243-21-049617 · doc4a.xml · derivative · entry 14 Pascal Tomer · CIK 0001778646 · Chief Revenue Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 126,666 Underlying: Common Stock · 20,000 shares Expires 2028-12-28 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F12 · derivative.exercise_date: 1/3rd of the number of shares subject to the option vested on October 11, 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 · derivative.exercise_date: 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. F14 · ownership.direct: Includes an option exercisable for 166,666 shares previously held by ELZ Ventures LTD, an entity of which the Reporting Person is the sole owner, which were transferred by ELZ Ventures LTD to the Reporting Person on December 14, 2020 and are now owned directly by the Reporting Person. Read SEC document |
| March 12, 2021 Filed Dec 23, 2021 22:01 UTC Amendment | Aterian, Inc. ATER · Entity 8078 | SaleCommon Stock | 20,000 | $32.88 | $657,656.00 |
DisclosureSEC source: 0000899243-21-049617 · doc4a.xml · nonDerivative · entry 12 Pascal Tomer · CIK 0001778646 · Chief Revenue Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 230,358 F11 · price: The price reported in Column 4 of Table I is a weighted average price. These shares were sold in multiple transactions at prices ranging from $32.55 to $33.40, inclusive. The holder undertakes to provide to the issuer, any security holder of the issuer, or staff of the Securities Exchange Commission, upon written request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote. Read SEC document |
| March 12, 2021 Filed Dec 23, 2021 22:01 UTC Amendment | Aterian, Inc. ATER · Entity 8078 | Exercise / conversionCommon Stock | 20,000 | $9.72 | $194,400.00 |
DisclosureSEC source: 0000899243-21-049617 · doc4a.xml · nonDerivative · entry 11 Pascal Tomer · CIK 0001778646 · Chief Revenue Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 250,358 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. Read SEC document |
| March 11, 2021 Filed Mar 16, 2021 01:51 UTC | Aterian, Inc. MWK · Entity 8078 | Exercise / conversionEmployee Stock Option (right to buy) · Derivative | 20,000 | $0.00 Strike: $9.72 | $0.00 |
DisclosureSEC source: 0000899243-21-011834 · doc4.xml · derivative · entry 4 Pascal Tomer · CIK 0001778646 · Chief Revenue Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 146,666 Underlying: Common Stock · 20,000 shares Expires 2028-12-28 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · kind: 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 14, 2020. F3 · derivative.exercise_date: 1/3rd of the number of shares subject to the option vested on October 11, 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. F4 · derivative.exercise_date: 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. F5 · ownership.direct: Includes an option exercisable for 166,666 shares previously held by ELZ Ventures LTD, an entity of which the Reporting Person is the sole owner, which were transferred by ELZ Ventures LTD to the Reporting Person on December 14, 2020 and are now owned directly by the Reporting Person. Read SEC document |
| March 11, 2021 Filed Mar 16, 2021 01:51 UTC | Aterian, Inc. MWK · Entity 8078 | SaleCommon Stock | 68,734 | $34.35 | $2,361,012.90 |
DisclosureSEC source: 0000899243-21-011834 · doc4.xml · nonDerivative · entry 2 Pascal Tomer · CIK 0001778646 · Chief Revenue Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 250,358 F2 · kind: The sales reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the Reporting Person on December 14, 2020. Read SEC document |
| March 11, 2021 Filed Mar 16, 2021 01:51 UTC | Aterian, Inc. MWK · Entity 8078 | Exercise / conversionCommon Stock | 20,000 | $9.72 | $194,400.00 |
DisclosureSEC source: 0000899243-21-011834 · doc4.xml · nonDerivative · entry 1 Pascal Tomer · CIK 0001778646 · Chief Revenue Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 319,092 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · kind: 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 14, 2020. Read SEC document |
| March 11, 2021 Filed Jul 2, 2021 21:01 UTC Amendment | Aterian, Inc. ATER · Entity 8078 | Exercise / conversionEmployee Stock Option (right to buy) · Derivative | 20,000 | $0.00 Strike: $9.72 | $0.00 |
DisclosureSEC source: 0000899243-21-027251 · doc4a.xml · derivative · entry 13 Pascal Tomer · CIK 0001778646 · Chief Revenue Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 146,666 Underlying: Common Stock · 20,000 shares Expires 2028-12-28 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F10 · kind: 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 14, 2020. F13 · derivative.exercise_date: 1/3rd of the number of shares subject to the option vested on October 11, 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. F14 · derivative.exercise_date: 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. F15 · ownership.direct: Includes an option exercisable for 166,666 shares previously held by ELZ Ventures LTD, an entity of which the Reporting Person is the sole owner, which were transferred by ELZ Ventures LTD to the Reporting Person on December 14, 2020 and are now owned directly by the Reporting Person. Read SEC document |
| March 11, 2021 Filed Jul 2, 2021 21:01 UTC Amendment | Aterian, Inc. ATER · Entity 8078 | SaleCommon Stock | 20,000 | $34.53 | $690,570.00 |
DisclosureSEC source: 0000899243-21-027251 · doc4a.xml · nonDerivative · entry 10 Pascal Tomer · CIK 0001778646 · Chief Revenue Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 230,358 F1 · kind: The sales reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the Reporting Person on December 14, 2020. F11 · price: The price reported in Column 4 of Table I is a weighted average price. These shares were sold in multiple transactions at prices ranging from $34.28 to $34.66, inclusive. The holder undertakes to provide to the issuer, any security holder of the issuer, or staff of the Securities Exchange Commission, upon written request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote. Read SEC document |
| March 11, 2021 Filed Jul 2, 2021 21:01 UTC Amendment | Aterian, Inc. ATER · Entity 8078 | Exercise / conversionCommon Stock | 20,000 | $9.72 | $194,400.00 |
DisclosureSEC source: 0000899243-21-027251 · doc4a.xml · nonDerivative · entry 9 Pascal Tomer · CIK 0001778646 · Chief Revenue Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 250,358 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F10 · kind: 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 14, 2020. Read SEC document |
| March 11, 2021 Filed Jul 2, 2021 21:01 UTC Amendment | Aterian, Inc. ATER · Entity 8078 | SaleCommon Stock | 2,107 | $31.77 | $66,938.97 |
DisclosureSEC source: 0000899243-21-027251 · doc4a.xml · nonDerivative · entry 8 Pascal Tomer · CIK 0001778646 · Chief Revenue Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 230,358 F1 · kind: The sales reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the Reporting Person on December 14, 2020. F9 · price: The price reported in Column 4 of Table I is a weighted average price. These shares were sold in multiple transactions at prices ranging from $31.51 to $32.00, inclusive. The holder undertakes to provide to the issuer, any security holder of the issuer, or staff of the Securities Exchange Commission, upon written request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote. Read SEC document |
| March 11, 2021 Filed Dec 23, 2021 22:01 UTC Amendment | Aterian, Inc. ATER · Entity 8078 | Exercise / conversionEmployee Stock Option (right to buy) · Derivative | 20,000 | $0.00 Strike: $9.72 | $0.00 |
DisclosureSEC source: 0000899243-21-049617 · doc4a.xml · derivative · entry 13 Pascal Tomer · CIK 0001778646 · Chief Revenue Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 146,666 Underlying: Common Stock · 20,000 shares Expires 2028-12-28 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F12 · derivative.exercise_date: 1/3rd of the number of shares subject to the option vested on October 11, 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 · derivative.exercise_date: 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. F14 · ownership.direct: Includes an option exercisable for 166,666 shares previously held by ELZ Ventures LTD, an entity of which the Reporting Person is the sole owner, which were transferred by ELZ Ventures LTD to the Reporting Person on December 14, 2020 and are now owned directly by the Reporting Person. Read SEC document |
| March 11, 2021 Filed Dec 23, 2021 22:01 UTC Amendment | Aterian, Inc. ATER · Entity 8078 | SaleCommon Stock | 20,000 | $34.53 | $690,570.00 |
DisclosureSEC source: 0000899243-21-049617 · doc4a.xml · nonDerivative · entry 10 Pascal Tomer · CIK 0001778646 · Chief Revenue Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 230,358 F10 · price: The price reported in Column 4 of Table I is a weighted average price. These shares were sold in multiple transactions at prices ranging from $34.28 to $34.66, inclusive. The holder undertakes to provide to the issuer, any security holder of the issuer, or staff of the Securities Exchange Commission, upon written request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote. Read SEC document |
| March 11, 2021 Filed Dec 23, 2021 22:01 UTC Amendment | Aterian, Inc. ATER · Entity 8078 | Exercise / conversionCommon Stock | 20,000 | $9.72 | $194,400.00 |
DisclosureSEC source: 0000899243-21-049617 · doc4a.xml · nonDerivative · entry 9 Pascal Tomer · CIK 0001778646 · Chief Revenue Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 250,358 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. Read SEC document |
| March 11, 2021 Filed Dec 23, 2021 22:01 UTC Amendment | Aterian, Inc. ATER · Entity 8078 | SaleCommon Stock | 2,107 | $31.77 | $66,938.97 |
DisclosureSEC source: 0000899243-21-049617 · doc4a.xml · nonDerivative · entry 8 Pascal Tomer · CIK 0001778646 · Chief Revenue Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 230,358 F1 · kind: Shares were automatically sold by the Reporting Person on a non-discretionary basis solely to satisfy tax withholding obligations upon the previously scheduled vesting of restricted stock awards for which the March 10, 2021 vesting date was approved on December 14, 2020. F9 · price: The price reported in Column 4 of Table I is a weighted average price. These shares were sold in multiple transactions at prices ranging from $31.51 to $32.00, inclusive. The holder undertakes to provide to the issuer, any security holder of the issuer, or staff of the Securities Exchange Commission, upon written request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote. (10) The price reported in Column 4 of Table I is a weighted average price. These shares were sold in multiple transactions at prices ranging from $34.28 to $34.66, inclusive. The holder undertakes to provide to the issuer, any security holder of the issuer, or staff of the Securities Exchange Commission, upon written request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote. Read SEC document |
| March 10, 2021 Filed Jul 2, 2021 21:01 UTC Amendment | Aterian, Inc. ATER · Entity 8078 | SaleCommon Stock | 2,187 | $37.97 | $83,050.01 |
DisclosureSEC source: 0000899243-21-027251 · doc4a.xml · nonDerivative · entry 7 Pascal Tomer · CIK 0001778646 · Chief Revenue Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 232,465 F1 · kind: The sales reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the Reporting Person on December 14, 2020. F8 · price: The price reported in Column 4 of Table I is a weighted average price. These shares were sold in multiple transactions at prices ranging from $37.72 to $38.16, inclusive. The holder undertakes to provide to the issuer, any security holder of the issuer, or staff of the Securities Exchange Commission, upon written request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote. Read SEC document |
| March 10, 2021 Filed Jul 2, 2021 21:01 UTC Amendment | Aterian, Inc. ATER · Entity 8078 | SaleCommon Stock | 10,169 | $37.16 | $377,924.78 |
DisclosureSEC source: 0000899243-21-027251 · doc4a.xml · nonDerivative · entry 6 Pascal Tomer · CIK 0001778646 · Chief Revenue Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 234,652 F1 · kind: The sales reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the Reporting Person on December 14, 2020. F7 · price: The price reported in Column 4 of Table I is a weighted average price. These shares were sold in multiple transactions at prices ranging from $36.71 to $37.71, inclusive. The holder undertakes to provide to the issuer, any security holder of the issuer, or staff of the Securities Exchange Commission, upon written request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote. Read SEC document |
| March 10, 2021 Filed Jul 2, 2021 21:01 UTC Amendment | Aterian, Inc. ATER · Entity 8078 | SaleCommon Stock | 14,108 | $36.16 | $510,186.19 |
DisclosureSEC source: 0000899243-21-027251 · doc4a.xml · nonDerivative · entry 5 Pascal Tomer · CIK 0001778646 · Chief Revenue Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 244,821 F1 · kind: The sales reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the Reporting Person on December 14, 2020. F6 · price: The price reported in Column 4 of Table I is a weighted average price. These shares were sold in multiple transactions at prices ranging from $35.69 to $36.68, inclusive. The holder undertakes to provide to the issuer, any security holder of the issuer, or staff of the Securities Exchange Commission, upon written request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote. Read SEC document |
| March 10, 2021 Filed Jul 2, 2021 21:01 UTC Amendment | Aterian, Inc. ATER · Entity 8078 | SaleCommon Stock | 8,071 | $35.13 | $283,504.37 |
DisclosureSEC source: 0000899243-21-027251 · doc4a.xml · nonDerivative · entry 4 Pascal Tomer · CIK 0001778646 · Chief Revenue Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 258,929 F1 · kind: The sales reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the Reporting Person on December 14, 2020. F5 · price: The price reported in Column 4 of Table I is a weighted average price. These shares were sold in multiple transactions at prices ranging from $34.64 to $35.63, inclusive. The holder undertakes to provide to the issuer, any security holder of the issuer, or staff of the Securities Exchange Commission, upon written request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote. Read SEC document |
| March 10, 2021 Filed Jul 2, 2021 21:01 UTC Amendment | Aterian, Inc. ATER · Entity 8078 | SaleCommon Stock | 12,202 | $33.96 | $414,417.75 |
DisclosureSEC source: 0000899243-21-027251 · doc4a.xml · nonDerivative · entry 3 Pascal Tomer · CIK 0001778646 · Chief Revenue Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 267,000 F1 · kind: The sales reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the Reporting Person on December 14, 2020. F4 · price: The price reported in Column 4 of Table I is a weighted average price. These shares were sold in multiple transactions at prices ranging from $33.63 to $34.63, inclusive. The holder undertakes to provide to the issuer, any security holder of the issuer, or staff of the Securities Exchange Commission, upon written request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote. Read SEC document |
| March 10, 2021 Filed Jul 2, 2021 21:01 UTC Amendment | Aterian, Inc. ATER · Entity 8078 | SaleCommon Stock | 2,190 | $33.13 | $72,556.23 |
DisclosureSEC source: 0000899243-21-027251 · doc4a.xml · nonDerivative · entry 2 Pascal Tomer · CIK 0001778646 · Chief Revenue Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 279,202 F1 · kind: The sales reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the Reporting Person on December 14, 2020. F3 · price: The price reported in Column 4 of Table I is a weighted average price. These shares were sold in multiple transactions at prices ranging from $32.62 to $33.60, inclusive. The holder undertakes to provide to the issuer, any security holder of the issuer, or staff of the Securities Exchange Commission, upon written request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote. Read SEC document |
| March 10, 2021 Filed Jul 2, 2021 21:01 UTC Amendment | Aterian, Inc. ATER · Entity 8078 | SaleCommon Stock | 17,700 | $31.67 | $560,482.89 |
DisclosureSEC source: 0000899243-21-027251 · doc4a.xml · nonDerivative · entry 1 Pascal Tomer · CIK 0001778646 · Chief Revenue Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 281,392 F1 · kind: The sales reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the Reporting Person on December 14, 2020. F2 · price: The price reported in Column 4 of Table I is a weighted average price. These shares were sold in multiple transactions at prices ranging from $31.51 to $32.45, inclusive. The holder undertakes to provide to the issuer, any security holder of the issuer, or staff of the Securities Exchange Commission, upon written request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote. Read SEC document |
| March 10, 2021 Filed Dec 23, 2021 22:01 UTC Amendment | Aterian, Inc. ATER · Entity 8078 | SaleCommon Stock | 2,187 | $37.97 | $83,050.01 |
DisclosureSEC source: 0000899243-21-049617 · doc4a.xml · nonDerivative · entry 7 Pascal Tomer · CIK 0001778646 · Chief Revenue Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 232,465 F1 · kind: Shares were automatically sold by the Reporting Person on a non-discretionary basis solely to satisfy tax withholding obligations upon the previously scheduled vesting of restricted stock awards for which the March 10, 2021 vesting date was approved on December 14, 2020. F8 · price: The price reported in Column 4 of Table I is a weighted average price. These shares were sold in multiple transactions at prices ranging from $37.72 to $38.16, inclusive. The holder undertakes to provide to the issuer, any security holder of the issuer, or staff of the Securities Exchange Commission, upon written request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote. Read SEC document |
| March 10, 2021 Filed Dec 23, 2021 22:01 UTC Amendment | Aterian, Inc. ATER · Entity 8078 | SaleCommon Stock | 10,169 | $37.16 | $377,924.78 |
DisclosureSEC source: 0000899243-21-049617 · doc4a.xml · nonDerivative · entry 6 Pascal Tomer · CIK 0001778646 · Chief Revenue Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 234,652 F1 · kind: Shares were automatically sold by the Reporting Person on a non-discretionary basis solely to satisfy tax withholding obligations upon the previously scheduled vesting of restricted stock awards for which the March 10, 2021 vesting date was approved on December 14, 2020. F7 · price: The price reported in Column 4 of Table I is a weighted average price. These shares were sold in multiple transactions at prices ranging from $36.71 to $37.71, inclusive. The holder undertakes to provide to the issuer, any security holder of the issuer, or staff of the Securities Exchange Commission, upon written request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote. Read SEC document |
| March 10, 2021 Filed Dec 23, 2021 22:01 UTC Amendment | Aterian, Inc. ATER · Entity 8078 | SaleCommon Stock | 14,108 | $36.16 | $510,186.19 |
DisclosureSEC source: 0000899243-21-049617 · doc4a.xml · nonDerivative · entry 5 Pascal Tomer · CIK 0001778646 · Chief Revenue Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 244,821 F1 · kind: Shares were automatically sold by the Reporting Person on a non-discretionary basis solely to satisfy tax withholding obligations upon the previously scheduled vesting of restricted stock awards for which the March 10, 2021 vesting date was approved on December 14, 2020. F6 · price: The price reported in Column 4 of Table I is a weighted average price. These shares were sold in multiple transactions at prices ranging from $35.69 to $36.68, inclusive. The holder undertakes to provide to the issuer, any security holder of the issuer, or staff of the Securities Exchange Commission, upon written request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote. Read SEC document |
Value uses the disclosed total when available, otherwise shares × reported transaction price. It is not an estimate of exercise cash cost or investment performance.