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Arteris, Inc. — Director's Dealing 2024
Feb 5, 2024
32988_dirs_2024-02-05_d55cf472-bfdb-46f2-b4c1-024a2437dfc8.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: 2024-02-01
Reporting Person: Alpern Paul L (N/A)
Non-Derivative Transactions
| Date | Security | Code | Shares | Price | A/D | Holdings After | Ownership |
|---|---|---|---|---|---|---|---|
| 2024-02-01 | Common Stock | A | 50000.00 | $0.00 | Acquired | 87521.00 | Direct |
| 2024-02-01 | Common Stock | M | 10000.00 | $0.56 | Acquired | 97521.00 | Direct |
| 2024-02-01 | Common Stock | M | 1250.00 | $0.60 | Acquired | 98771.00 | Direct |
| 2024-02-01 | Common Stock | S | 10000.00 | $6.1218 | Disposed | 88771.00 | Direct |
| 2024-02-01 | Common Stock | S | 1250.00 | $6.17 | Disposed | 87521.00 | Direct |
Derivative Transactions
| Date | Security | Exercise Price | Code | Shares | A/D | Expiration | Underlying | Ownership |
|---|---|---|---|---|---|---|---|---|
| 2024-02-01 | Common Stock | $0.60 | M | 1250.00 | Disposed | 2030-07-22 | Common Stock (1250.00) | Direct |
| 2024-02-01 | Common Stock | $0.56 | M | 10000.00 | Disposed | 2029-10-23 | Common Stock (10000.00) | Direct |
Footnotes
F1: Includes 50,000 restricted stock units ("RSUs"), each of which represents a contingent right to receive one share of the Issuer's common stock. The RSUs will vest with respect to 1/16th of the total RSUs on 4/1/2024 and in equal quarterly installments thereafter. The RSUs have no expiration date.
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: Transaction made pursuant to a 10b5-1 trading plan that was adopted by the Reporting Person on August 16, 2023.
F5: The price reported in Column 4 is a weighted average sale price. These shares were sold in multiple transactions at prices ranging from $6.01 to $6.19 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 87,521 restricted stock units.