Chaouat-Fix Mihal 的 Form 4/A 修正申報
修正Aterian, Inc.（ATER），2021/12/23 申報
- 申報編號
- 0000899243-21-049608
- 申報時間
- 2021/12/23
- 交易日
- 2021/3/10-3/12
- 申報延遲
- 288 天
- 10b5-1 計畫
- 表單沒有這欄（2023 年以前）
- 原始申報日
- 2021/3/15
這份申報列了 12 筆非衍生性交易、2 筆衍生性交易。公開市場賣出合計 $328.6 萬。交易後 288 天申報。
這份修正申報取代了 0000899243-21-027252（2021/7/2 申報）。
申報人
一份 Form 4 可以有好幾位申報人，例如本人與他控制的基金。各交易表上顯示的是第一位。
| 申報人 | 與公司的關係 |
|---|---|
| Chaouat-Fix MihalCIK 0001778022 | 高階主管（產品長） |
非衍生性證券（表 I）
普通股等股票的取得與處分，每一列是申報上的一筆。
| 交易日 | 證券 | 交易 | 股數 | 價格 | 金額 | 交易後持股 | 持有方式 | 旗標 |
|---|---|---|---|---|---|---|---|---|
| 2021/3/10 | Common Stock | S賣出處分 | −16,615 | $31.67F2 | −$526,197.05 | 306,825 | 直接 | |
| 2021/3/10 | Common Stock | S賣出處分 | −2,049 | $33.13F3 | −$67,883.37 | 304,776 | 直接 | |
| 2021/3/10 | Common Stock | S賣出處分 | −11,429 | $33.96F4 | −$388,128.84 | 293,347 | 直接 | |
| 2021/3/10 | Common Stock | S賣出處分 | −7,554 | $35.13F5 | −$265,372.02 | 285,793 | 直接 | |
| 2021/3/10 | Common Stock | S賣出處分 | −13,224 | $36.16F6 | −$478,179.84 | 272,569 | 直接 | |
| 2021/3/10 | Common Stock | S賣出處分 | −9,522 | $37.16F7 | −$353,837.52 | 263,047 | 直接 | |
| 2021/3/10 | Common Stock | S賣出處分 | −2,047 | $37.97F8 | −$77,724.59 | 261,000 | 直接 | |
| 2021/3/11 | Common Stock | S賣出處分 | −1,975 | $31.77F9 | −$62,745.75 | 259,025 | 直接 | |
| 2021/3/12 | Common Stock | M行使選擇權取得 | +862 | $9.72 | +$8,378.64 | 259,887 | 直接 | |
| 2021/3/12 | Common Stock | M行使選擇權取得 | +31,310 | $4.80 | +$150,288 | 291,197 | 直接 | |
| 2021/3/12 | Common Stock | S賣出處分 | −32,139 | $33.12F10 | −$1,064,443.68 | 259,058 | 直接 | |
| 2021/3/12 | Common Stock | S賣出處分 | −33 | $34.05 | −$1,123.65 | 259,025 | 直接 |
衍生性證券（表 II）
選擇權、認股權證、限制型股票單位等。股數是標的股票的股數；單價與金額是衍生證券本身的價格，交易後持有是衍生證券的單位數。
| 交易日 | 證券 | 交易 | 標的股數 | 單價 | 金額 | 交易後持有 | 持有方式 | 旗標 |
|---|---|---|---|---|---|---|---|---|
| 2021/3/12 | Common Stock | M行使選擇權處分 | −862 | $0.00 | $0 | 140,163 | 直接 | |
| 2021/3/12 | Common Stock | M行使選擇權處分 | −31,310 | $0.00 | $0 | 0 | 直接 |
附註與備註
本站收錄交易價格引用的附註、修正申報（Form 4/A）的全部附註，以及申報的備註。其他附註，例如間接持有的方式、交易計畫的細節，請看 SEC EDGAR 上的原文。
- 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.
表 I 有 1 筆交易的價格引用這則附註。
- 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.
表 I 有 1 筆交易的價格引用這則附註。
- 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.
表 I 有 1 筆交易的價格引用這則附註。
- 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.
表 I 有 1 筆交易的價格引用這則附註。
- 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.
表 I 有 1 筆交易的價格引用這則附註。
- 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.
表 I 有 1 筆交易的價格引用這則附註。
- 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.
表 I 有 1 筆交易的價格引用這則附註。
- 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.
表 I 有 1 筆交易的價格引用這則附註。
- 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 $33.00 to $34.00, 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.
表 I 有 1 筆交易的價格引用這則附註。
- F11
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.
- F12
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.
- F13
1/4th of the number of shares subject to the option vested on June 16, 2015 and 1/48th of the number of shares subject to the option vested following each one month period of service thereafter.
備註
This Form 4 is being amended and restated to correct certain footnotes included in the Form 4, as amended (the "Amended Form 4"). The Amended Form 4 inadvertently indicated that the transactions reported therein were effected pursuant to a Rule 10b5-1 trading plan adopted by the Reporting Person on December 14, 2020. Certain of the previously reported transactions were instead non-discretionary, automatic sales of shares 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.