0000899243-21-027243.txt : 20210702 0000899243-21-027243.hdr.sgml : 20210702 20210702170040 ACCESSION NUMBER: 0000899243-21-027243 CONFORMED SUBMISSION TYPE: 4/A PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20210310 FILED AS OF DATE: 20210702 DATE AS OF CHANGE: 20210702 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Zahut Roi Zion CENTRAL INDEX KEY: 0001778027 FILING VALUES: FORM TYPE: 4/A SEC ACT: 1934 Act SEC FILE NUMBER: 001-38937 FILM NUMBER: 211071103 MAIL ADDRESS: STREET 1: C/O MOHAWK GROUP HOLDINGS, INC. STREET 2: 37 EAST 18TH STREET, 7TH FLOOR CITY: NEW YORK STATE: NY ZIP: 10003 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: Aterian, Inc. CENTRAL INDEX KEY: 0001757715 STANDARD INDUSTRIAL CLASSIFICATION: ELECTRIC HOUSEWARES & FANS [3634] IRS NUMBER: 831739858 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 BUSINESS ADDRESS: STREET 1: 37 EAST 18TH STREET STREET 2: 7TH FLOOR CITY: NEW YORK STATE: NY ZIP: 10003 BUSINESS PHONE: (347)676-1681 MAIL ADDRESS: STREET 1: 37 EAST 18TH STREET STREET 2: 7TH FLOOR CITY: NEW YORK STATE: NY ZIP: 10003 FORMER COMPANY: FORMER CONFORMED NAME: Mohawk Group Holdings, Inc. DATE OF NAME CHANGE: 20181031 4/A 1 doc4a.xml FORM 4/A SUBMISSION X0306 4/A 2021-03-10 2021-03-15 0 0001757715 Aterian, Inc. ATER 0001778027 Zahut Roi Zion C/O ATERIAN, INC. 37 E 18TH STREET, 7TH FLOOR NEW YORK NY 10003 0 1 0 0 Chief Technology Officer Common Stock 2021-03-10 4 S 0 13567 31.6652 D 188142 D Common Stock 2021-03-10 4 S 0 1674 33.1309 D 186468 D Common Stock 2021-03-10 4 S 0 9332 33.9628 D 177136 D Common Stock 2021-03-10 4 S 0 6172 35.1264 D 170964 D Common Stock 2021-03-10 4 S 0 10794 36.163 D 160170 D Common Stock 2021-03-10 4 S 0 7777 37.1644 D 152393 D Common Stock 2021-03-10 4 S 0 1669 37.9745 D 150724 D Common Stock 2021-03-11 4 S 0 1614 31.7697 D 149110 D Common Stock 2021-03-12 4 M 0 48065 10.00 A 197175 D Common Stock 2021-03-12 4 S 0 48032 33.1635 D 149143 D Common Stock 2021-03-12 4 S 0 33 34.05 D 149110 D Employee Stock Option (right to buy) 10.00 2021-03-12 4 M 0 48065 0.00 D 2029-06-12 Common Stock 48065 21165 D The sales reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the Reporting Person on December 15, 2020. 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. 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. 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. 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. 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. 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. 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. 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. 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 15, 2020. The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $33.02 to $34.00, 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. 1/3rd of the number of shares subject to the option vested on January 15, 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. 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. This Form 4 is being amended and restated to include certain sales that occurred in connection with the reported option exercise, to correct the sales transactions that were previously reported (including the prices at which such sales occurred) and to correct the number of securities beneficially owned following the reported transactions. /s/ Roi Zahut 2021-07-02