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Arteris, Inc. — Director's Dealing 2023
Nov 17, 2023
32988_dirs_2023-11-17_7a720d20-5ab5-4dd9-820f-c3f4cdf13dc0.zip
Director's Dealing
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SEC Form 4 — Statement of Changes in Beneficial Ownership
Issuer: Arteris, Inc. (AIP)
CIK: 0001667011
Period of Report: 2023-11-15
Reporting Person: Alpern Paul L (N/A)
Non-Derivative Transactions
| Date | Security | Code | Shares | Price | A/D | Holdings After | Ownership |
|---|---|---|---|---|---|---|---|
| 2023-11-15 | Common Stock | M | 10000.00 | $0.56 | Acquired | 53070.00 | Direct |
| 2023-11-15 | Common Stock | M | 7218.00 | $0.60 | Acquired | 60288.00 | Direct |
| 2023-11-15 | Common Stock | S | 10000.00 | $4.7834 | Disposed | 50288.00 | Direct |
| 2023-11-15 | Common Stock | S | 7218.00 | $4.784 | Disposed | 43070.00 | Direct |
| 2023-11-15 | Common Stock | S | 1748.00 | $4.7951 | Disposed | 41322.00 | Direct |
| 2023-11-15 | Common Stock | S | 446.00 | $4.85 | Disposed | 40876.00 | Direct |
Derivative Transactions
| Date | Security | Exercise Price | Code | Shares | A/D | Expiration | Underlying | Ownership |
|---|---|---|---|---|---|---|---|---|
| 2023-11-15 | Common Stock | $0.60 | M | 7218.00 | Disposed | 2030-07-22 | Common Stock (7218.00) | Direct |
| 2023-11-15 | Common Stock | $0.56 | M | 10000.00 | Disposed | 2029-10-23 | Common Stock (10000.00) | Direct |
Footnotes
F1: Transaction made pursuant to a 10b5-1 trading plan that was adopted by the Reporting Person on August 16, 2023.
F2: 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.
F3: 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.
F4: 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.
F5: 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.
F6: Includes 40,876 restricted stock units.