0001562180-23-007761.txt : 20231117 0001562180-23-007761.hdr.sgml : 20231117 20231117171931 ACCESSION NUMBER: 0001562180-23-007761 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20231115 FILED AS OF DATE: 20231117 DATE AS OF CHANGE: 20231117 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Alpern Paul L CENTRAL INDEX KEY: 0001888542 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-40960 FILM NUMBER: 231420004 MAIL ADDRESS: STREET 1: C/O ARTERIS, INC. STREET 2: 595 MILLICH DR., SUITE 200 CITY: CAMPBELL STATE: CA ZIP: 95008 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: Arteris, Inc. CENTRAL INDEX KEY: 0001667011 STANDARD INDUSTRIAL CLASSIFICATION: SEMICONDUCTORS & RELATED DEVICES [3674] IRS NUMBER: 000000000 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 BUSINESS ADDRESS: STREET 1: 900 E. HAMILTON AVE, SUITE 300 CITY: CAMPBELL STATE: CA ZIP: 95008 BUSINESS PHONE: (408) 470-7300 MAIL ADDRESS: STREET 1: 900 E. HAMILTON AVE, SUITE 300 CITY: CAMPBELL STATE: CA ZIP: 95008 4 1 primarydocument.xml PRIMARY DOCUMENT X0508 4 2023-11-15 false 0001667011 Arteris, Inc. AIP 0001888542 Alpern Paul L C/O ARTERIS, INC. 900 E. HAMILTON AVE., SUITE 300 CAMPBELL CA 95008 false true false false VP and General Counsel true Common Stock 2023-11-15 4 M false 10000.00 0.56 A 53070.00 D Common Stock 2023-11-15 4 M false 7218.00 0.60 A 60288.00 D Common Stock 2023-11-15 4 S false 10000.00 4.7834 D 50288.00 D Common Stock 2023-11-15 4 S false 7218.00 4.784 D 43070.00 D Common Stock 2023-11-15 4 S false 1748.00 4.7951 D 41322.00 D Common Stock 2023-11-15 4 S false 446.00 4.85 D 40876.00 D Common Stock 0.60 2023-11-15 4 M false 7218.00 0.00 D 2030-07-22 Common Stock 7218.00 11250.00 D Common Stock 0.56 2023-11-15 4 M false 10000.00 0.00 D 2029-10-23 Common Stock 10000.00 190000.00 D Transaction made pursuant to a 10b5-1 trading plan that was adopted by the Reporting Person on August 16, 2023. 25% of the total shares vested on August 26, 2020; thereafter, 1/48th of the total shares have vested monthly for 3 years. beginning on September 26, 2020. 25% of the total shares vested on July 23, 2021; thereafter, 1/48th of the total shares vest monthly for 3 years. beginning on August 23, 2021. The price reported in Column 4 is a weighted average sale price. These shares were sold in multiple transactions at prices ranging from $4.60 to $4.98 inclusive. The reporting person undertakes to provide the Issuer, any security holder of the Issuer, 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 in this footnote. The price reported in Column 4 is a weighted average sale price. These shares were sold in multiple transactions at prices ranging from $4.60 to $4.94 inclusive. The reporting person undertakes to provide the Issuer, any security holder of the Issuer, 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 in this footnote. Includes 40,876 restricted stock units. /s/ Paul Alpern 2023-11-17