Cantwell Wayne C's Form 4 filing
Arteris, Inc. (AIP) · filed Oct 29, 2021
- Accession no.
- 0001567619-21-019038
- Filed
- Oct 29, 2021
- Trade date
- Oct 26-29, 2021
- Filing delay
- 3 daysLate
- Rule 10b5-1 plan
- Not on the form (before 2023)
This filing lists 3 non-derivative transactions and 1 derivative transaction. Open-market purchases total $18.75. It was filed 3 days after the trade, past the 2-business-day deadline.
Reporting owners
A Form 4 can have several reporting owners, such as a person and a fund they control. Trade tables show the first one.
| Owner | Relationship to the company |
|---|---|
| Cantwell Wayne CCIK 0001888679 | Director |
Non-derivative securities (Table I)
Acquisitions and disposals of common stock and similar shares, one row per line on the filing.
| Trade date | Security | Transaction | Shares | Price | Value | Shares after | Ownership | Flags |
|---|---|---|---|---|---|---|---|---|
| Oct 29, 2021 | Common Stock | CConversionAcquired | +38,760 | –F1 | – | 38,760 | Indirect | |
| Oct 29, 2021 | Common Stock | PPurchaseAcquired | +1 | $18.75 | +$18.75 | 38,761 | Indirect | |
| Oct 26, 2021 | Common Stock | AGrant or awardAcquired | +8,333 | $0.00 | $0 | 208,333 | Direct |
Derivative securities (Table II)
Options, warrants, restricted stock units and similar. Shares are the underlying shares; price and value are for the derivative itself, and the holding after is in derivative units.
| Trade date | Security | Transaction | Underlying shares | Unit price | Value | Held after | Ownership | Flags |
|---|---|---|---|---|---|---|---|---|
| Oct 29, 2021 | Common Stock | CConversionDisposed | −38,760 | $0.00 | $0 | 38,760 | Indirect |
Footnotes and remarks
Livermore keeps the footnotes that transaction prices refer to, all footnotes of amendments (Form 4/A) and the filing's remarks. Other footnotes, such as how indirect holdings are held or the details of a trading plan, are only in the original on SEC EDGAR.
- F1
Each share of the Issuer's Series A Preferred Stock automatically converted into one (1) share of the Issuer's Common Stock immediately upon the closing of the Issuer's initial public offering. The shares had no expiration date.
Referenced by the price of 1 transaction in Table I.