Lazar David E.'s Form 4 filing
Aterian, Inc. (ATER) · filed Sep 11, 2026
- Accession no.
- 0001829126-26-010034
- Filed
- Sep 11, 2026, 1:54 PM ET
- Trade date
- Jul 17-Aug 4, 2026
- Filing delay
- 56 daysLate
- Rule 10b5-1 plan
- Not checked
This filing lists 1 non-derivative transaction and 2 derivative transactions. It was filed 56 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 |
|---|---|
| Lazar David E.CIK 0001932843 | Director, Officer (Chief Executive Officer), 10% Owner |
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 |
|---|---|---|---|---|---|---|---|---|
| Aug 4, 2026 | Common Stock | CConversionAcquired | +875,000 | $2.00 | +$1,750,000 | 6,737,500 | 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 |
|---|---|---|---|---|---|---|---|---|
| Jul 17, 2026 | Common Stock | AGrant or awardAcquired | +236,425,000 | $2.00F1 | +$3,500,000 | 1,750,000 | Direct | |
| Aug 4, 2026 | Common Stock | CConversionDisposed | −6,737,500 | $0.00 | $0 | 6,737,500 | Direct |
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
On July 17, 2026, the Reporting Person acquired 1,750,000 shares of Series AAA Convertible Non-Redeemable Preferred Stock at $2.00 per share (the "Series AAA Preferred Shares"), for an aggregate purchase price of $3,500,000, pursuant to the Securities Purchase Agreement dated April 27, 2026. Following receipt of the requisite stockholder approvals, each Series AAA Preferred Share may be converted into 135.1 shares of Common Stock (up to 236,425,000 shares in the aggregate) at a conversion price of $0.0148, for no additional consideration.
Referenced by the price of 1 transaction in Table II.