0000899243-21-027262.txt : 20210702 0000899243-21-027262.hdr.sgml : 20210702 20210702170537 ACCESSION NUMBER: 0000899243-21-027262 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20210630 FILED AS OF DATE: 20210702 DATE AS OF CHANGE: 20210702 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Rodriguez Arturo CENTRAL INDEX KEY: 0001354895 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-38937 FILM NUMBER: 211071298 MAIL ADDRESS: STREET 1: C/O ATARI, INC. STREET 2: 417 FIFTH AVENUE CITY: NEW YORK STATE: NY ZIP: 10016 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 1 doc4.xml FORM 4 SUBMISSION X0306 4 2021-06-30 0 0001757715 Aterian, Inc. ATER 0001354895 Rodriguez Arturo C/O ATERIAN, INC. 37 E 18TH STREET, 7TH FLOOR NEW YORK NY 10003 0 1 0 0 Chief Financial Officer Common Stock 2021-06-30 4 A 0 23541 0.00 A 171759 D Common Stock 2021-06-30 4 A 0 2000 0.00 A 173759 D Common Stock 2021-06-30 4 A 0 96000 0.00 A 269759 D The restricted shares of common stock were granted pursuant to the Issuer's Amended and Restated 2019 Equity Plan (the "2019 Equity Plan") due to certain forfeitures of shares previously granted pursuant to the 2019 Equity Plan to a former employee of the Issuer. In the event of a forfeiture of shares granted under the 2019 Equity Plan, such shares are automatically reallocated to the remaining participants in the 2019 Equity Plan in proportion to the number of shares covered by outstanding awards granted under the 2019 Equity Plan that each such remaining participant holds. Comprised solely of shares of restricted common stock granted pursuant to the 2019 Equity Plan that are subject to vesting. The shares of restricted common stock shall vest in full on December 14, 2021. Comprised solely of shares of restricted common stock granted pursuant to the Issuer's Amended and Restated 2018 Equity Incentive Plan (the "2018 Equity Plan") that are subject to vesting. The shares of restricted common stock shall vest in full on December 14, 2021, subject to the Reporting Person's continued service to the Issuer through such vesting date. Comprised solely of shares of restricted common stock granted pursuant to the 2018 Equity Plan that are subject to vesting. 1/3rd of the shares of restricted common stock shall vest on June 11, 2022, and 1/12 of shares of restricted common stock shall vest each quarterly period thereafter, subject to the Reporting Person's continued service to the Issuer through each such vesting date. /s/ Arturo Rodriguez 2021-07-02