Risico Joseph A

SEC source: 0001437749-24-014002 · rdgdoc.xml · nonDerivative · entry 1

Risico Joseph A · CIK 0001778024 · Director · Co-CEO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 370,119

F1 · kind: Comprised of shares of restricted common stock granted pursuant to the Issuer's 2018 Equity Incentive Plan that are subject to vesting.

SEC source: 0001437749-23-025939 · rdgdoc.xml · nonDerivative · entry 1

Risico Joseph A · CIK 0001778024 · Director · Co-CEO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 2,329,421

F1 · shares: Shares of restricted common stock granted pursuant to the Issuer's 2018 Equity Incentive Plan that are subject to vesting.

SEC source: 0001437749-23-017488 · rdgdoc.xml · nonDerivative · entry 2

Risico Joseph A · CIK 0001778024 · Chief Legal Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 1,383,475

F2 · 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.

F3 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $0.50 to $0.56, 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.

SEC source: 0001437749-23-017488 · rdgdoc.xml · nonDerivative · entry 1

Risico Joseph A · CIK 0001778024 · Chief Legal Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 1,442,055

F1 · kind: Comprised of 924,437 shares of restricted common stock granted pursuant to the Issuer's 2018 Equity Incentive Plan that are subject to vesting and 33,973 shares of restricted common stock granted pursuant to the Issuer's 2018 Equity Incentive Plan that vested in full on June 12, 2023.

SEC source: 0000899243-22-033152 · doc4.xml · derivative · entry 2

Risico Joseph A · CIK 0001778024 · Chief Legal Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 47,619

Underlying: Common Stock · 47,619 shares

Expires 2028-04-04

F1 · kind: Each share of common stock was purchased together with an accompanying warrant to purchase one share of common stock in a registered direct offering directly from the issuer in accordance with Rule 16b-3(d) of the Securities Exchange Act of 1934, as amended, at a combined offering price of $2.10 per share.

F1 · price: Each share of common stock was purchased together with an accompanying warrant to purchase one share of common stock in a registered direct offering directly from the issuer in accordance with Rule 16b-3(d) of the Securities Exchange Act of 1934, as amended, at a combined offering price of $2.10 per share.

SEC source: 0000899243-22-033152 · doc4.xml · nonDerivative · entry 1

Risico Joseph A · CIK 0001778024 · Chief Legal Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 483,645

F1 · kind: Each share of common stock was purchased together with an accompanying warrant to purchase one share of common stock in a registered direct offering directly from the issuer in accordance with Rule 16b-3(d) of the Securities Exchange Act of 1934, as amended, at a combined offering price of $2.10 per share.

F1 · price: Each share of common stock was purchased together with an accompanying warrant to purchase one share of common stock in a registered direct offering directly from the issuer in accordance with Rule 16b-3(d) of the Securities Exchange Act of 1934, as amended, at a combined offering price of $2.10 per share.

SEC source: 0000899243-22-031210 · doc4.xml · nonDerivative · entry 1

Risico Joseph A · CIK 0001778024 · Chief Legal Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 436,026

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 $2.35 to $2.41, 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.

SEC source: 0000899243-22-022964 · doc4.xml · nonDerivative · entry 1

Risico Joseph A · CIK 0001778024 · Chief Legal Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 440,231

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 $2.51 to $2.605, 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.

SEC source: 0000899243-22-020308 · doc4.xml · nonDerivative · entry 2

Risico Joseph A · CIK 0001778024 · Chief Legal Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 464,064

F2 · shares: Comprised of 12,400 shares of restricted common stock granted pursuant to the Issuer's 2018 Equity Incentive Plan that are subject to vesting.

SEC source: 0000899243-22-020308 · doc4.xml · nonDerivative · entry 1

Risico Joseph A · CIK 0001778024 · Chief Legal Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 451,664

F1 · shares: Comprised of 279,471 shares of restricted common stock granted pursuant to the Issuer's 2018 Equity Incentive Plan that are subject to vesting.

SEC source: 0000899243-21-049616 · doc4.xml · nonDerivative · entry 1

Risico Joseph A · CIK 0001778024 · Chief Legal Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 172,193

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.

SEC source: 0000899243-21-027263 · doc4.xml · nonDerivative · entry 3

Risico Joseph A · CIK 0001778024 · Chief Legal Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 259,368

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.

SEC source: 0000899243-21-027263 · doc4.xml · nonDerivative · entry 2

Risico Joseph A · CIK 0001778024 · Chief Legal Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 163,368

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.

SEC source: 0000899243-21-027263 · doc4.xml · nonDerivative · entry 1

Risico Joseph A · CIK 0001778024 · Chief Legal Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 161,368

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. (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.

SEC source: 0000899243-21-012409 · doc4.xml · nonDerivative · entry 2

Risico Joseph A · CIK 0001778024 · Chief Legal Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 251,653

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 $29.26 to $30.25, 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.

SEC source: 0000899243-21-027245 · doc4a.xml · nonDerivative · entry 6

Risico Joseph A · CIK 0001778024 · Chief Legal Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 140,129

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.

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 $29.26 to $30.25, 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.

SEC source: 0000899243-21-049611 · doc4a.xml · nonDerivative · entry 6

Risico Joseph A · CIK 0001778024 · Chief Legal Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 140,129

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 $29.26 to $30.25, 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.

SEC source: 0000899243-21-012409 · doc4.xml · derivative · entry 3

Risico Joseph A · CIK 0001778024 · Chief Legal Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 26,937

Underlying: Common Stock · 111,524 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.

F4 · 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.

F5 · 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.

SEC source: 0000899243-21-012409 · doc4.xml · nonDerivative · entry 1

Risico Joseph A · CIK 0001778024 · Chief Legal Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 290,409

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.

SEC source: 0000899243-21-027245 · doc4a.xml · derivative · entry 7

Risico Joseph A · CIK 0001778024 · Chief Legal Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 26,937

Underlying: Common Stock · 111,524 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.

F7 · 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.

F8 · 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.

SEC source: 0000899243-21-027245 · doc4a.xml · nonDerivative · entry 5

Risico Joseph A · CIK 0001778024 · Chief Legal Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 178,885

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.

SEC source: 0000899243-21-027245 · doc4a.xml · nonDerivative · entry 4

Risico Joseph A · CIK 0001778024 · Chief Legal Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 178,924

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.

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 $32.64 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.

SEC source: 0000899243-21-027245 · doc4a.xml · nonDerivative · entry 3

Risico Joseph A · CIK 0001778024 · Chief Legal Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 192,552

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 $31.63 to $32.63, 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.

SEC source: 0000899243-21-027245 · doc4a.xml · nonDerivative · entry 2

Risico Joseph A · CIK 0001778024 · Chief Legal Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 233,871

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 $30.62 to $31.62, 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.

SEC source: 0000899243-21-027245 · doc4a.xml · nonDerivative · entry 1

Risico Joseph A · CIK 0001778024 · Chief Legal Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 290,409

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.

SEC source: 0000899243-21-049611 · doc4a.xml · derivative · entry 7

Risico Joseph A · CIK 0001778024 · Chief Legal Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 26,937

Underlying: Common Stock · 111,524 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.

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.

SEC source: 0000899243-21-049611 · doc4a.xml · nonDerivative · entry 5

Risico Joseph A · CIK 0001778024 · Chief Legal Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 178,885

SEC source: 0000899243-21-049611 · doc4a.xml · nonDerivative · entry 4

Risico Joseph A · CIK 0001778024 · Chief Legal Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 178,924

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 $32.64 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.

SEC source: 0000899243-21-049611 · doc4a.xml · nonDerivative · entry 3

Risico Joseph A · CIK 0001778024 · Chief Legal Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 192,552

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 $31.63 to $32.63, 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.

SEC source: 0000899243-21-049611 · doc4a.xml · nonDerivative · entry 2

Risico Joseph A · CIK 0001778024 · Chief Legal Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 233,871

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 $30.62 to $31.62, 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.

SEC source: 0000899243-21-049611 · doc4a.xml · nonDerivative · entry 1

Risico Joseph A · CIK 0001778024 · Chief Legal Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 290,409

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.

SEC source: 0000899243-21-011825 · doc4.xml · nonDerivative · entry 2

Risico Joseph A · CIK 0001778024 · Chief Legal Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 178,885

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.

SEC source: 0000899243-21-011825 · doc4.xml · nonDerivative · entry 1

Risico Joseph A · CIK 0001778024 · Chief Legal Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 181,839

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.

SEC source: 0000899243-21-027246 · doc4a.xml · nonDerivative · entry 8

Risico Joseph A · CIK 0001778024 · Chief Legal Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 178,885

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 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.

SEC source: 0000899243-21-049607 · doc4a.xml · nonDerivative · entry 8

Risico Joseph A · CIK 0001778024 · Chief Legal Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 178,885

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 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.

SEC source: 0000899243-21-027246 · doc4a.xml · nonDerivative · entry 7

Risico Joseph A · CIK 0001778024 · Chief Legal Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 180,127

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 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.

SEC source: 0000899243-21-027246 · doc4a.xml · nonDerivative · entry 6

Risico Joseph A · CIK 0001778024 · Chief Legal Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 181,413

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 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.

SEC source: 0000899243-21-027246 · doc4a.xml · nonDerivative · entry 5

Risico Joseph A · CIK 0001778024 · Chief Legal Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 187,408

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 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.

SEC source: 0000899243-21-027246 · doc4a.xml · nonDerivative · entry 4

Risico Joseph A · CIK 0001778024 · Chief Legal Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 195,728

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 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.

SEC source: 0000899243-21-027246 · doc4a.xml · nonDerivative · entry 3

Risico Joseph A · CIK 0001778024 · Chief Legal Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 200,480

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 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.

SEC source: 0000899243-21-027246 · doc4a.xml · nonDerivative · entry 2

Risico Joseph A · CIK 0001778024 · Chief Legal Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 207,674

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 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.

SEC source: 0000899243-21-027246 · doc4a.xml · nonDerivative · entry 1

Risico Joseph A · CIK 0001778024 · Chief Legal Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 208,961

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 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.

SEC source: 0000899243-21-049607 · doc4a.xml · nonDerivative · entry 7

Risico Joseph A · CIK 0001778024 · Chief Legal Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 180,127

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 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.

SEC source: 0000899243-21-049607 · doc4a.xml · nonDerivative · entry 6

Risico Joseph A · CIK 0001778024 · Chief Legal Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 181,413

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 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.

SEC source: 0000899243-21-049607 · doc4a.xml · nonDerivative · entry 5

Risico Joseph A · CIK 0001778024 · Chief Legal Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 187,408

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 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.

SEC source: 0000899243-21-049607 · doc4a.xml · nonDerivative · entry 4

Risico Joseph A · CIK 0001778024 · Chief Legal Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 195,728

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.

F5 · price: 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.

SEC source: 0000899243-21-049607 · doc4a.xml · nonDerivative · entry 3

Risico Joseph A · CIK 0001778024 · Chief Legal Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 200,480

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.

F4 · price: 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.

SEC source: 0000899243-21-049607 · doc4a.xml · nonDerivative · entry 2

Risico Joseph A · CIK 0001778024 · Chief Legal Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 207,674

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.

F3 · price: 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.

SEC source: 0000899243-21-049607 · doc4a.xml · nonDerivative · entry 1

Risico Joseph A · CIK 0001778024 · Chief Legal Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 208,961

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.

F2 · price: 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.

SEC source: 0000899243-20-034588 · doc4.xml · nonDerivative · entry 1

Risico Joseph A · CIK 0001778024 · General Counsel

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 219,426

F1 · kind: Represents a restricted stock award ("RSA") of common stock issued under the Issuer's 2018 Equity Incentive Plan. All of the shares subject to the RSA shall vest in full on December 15, 2021.