0000899243-21-049607.txt : 20211223 0000899243-21-049607.hdr.sgml : 20211223 20211223170020 ACCESSION NUMBER: 0000899243-21-049607 CONFORMED SUBMISSION TYPE: 4/A PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20210310 FILED AS OF DATE: 20211223 DATE AS OF CHANGE: 20211223 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Risico Joseph A CENTRAL INDEX KEY: 0001778024 FILING VALUES: FORM TYPE: 4/A SEC ACT: 1934 Act SEC FILE NUMBER: 001-38937 FILM NUMBER: 211517800 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 0001778024 Risico Joseph A C/O ATERIAN, INC. 37 E 18TH STREET, 7TH FLOOR NEW YORK NY 10003 0 1 0 0 Chief Legal Officer Common Stock 2021-03-10 4 S 0 10465 31.665 D 208961 D Common Stock 2021-03-10 4 S 0 1287 33.131 D 207674 D Common Stock 2021-03-10 4 S 0 7194 33.9629 D 200480 D Common Stock 2021-03-10 4 S 0 4752 35.1264 D 195728 D Common Stock 2021-03-10 4 S 0 8320 36.1629 D 187408 D Common Stock 2021-03-10 4 S 0 5995 37.1646 D 181413 D Common Stock 2021-03-10 4 S 0 1286 37.9743 D 180127 D Common Stock 2021-03-11 4 S 0 1242 31.7698 D 178885 D Shares were automatically sold by the Reporting Person on a non-discretionary basis solely to satisfy tax withholding obligations upon the previously scheduled vesting of restricted stock awards for which the March 10, 2021 vesting date was approved on December 14, 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. This Form 4 is being amended and restated to correct footnote (1) included in the Form 4, as amended (the "Amended Form 4"). The Amended Form 4 inadvertently indicated that the transactions reported therein were effected pursuant to a Rule 10b5-1 trading plan adopted by the Reporting Person on December 14, 2020. The previously reported transactions were instead non-discretionary, automatic sales of shares solely to satisfy tax withholding obligations upon the previously scheduled vesting of restricted stock awards for which the March 10, 2021 vesting date was approved on December 14, 2020. /s/ Joseph A. Risico 2021-12-23