Filing Details
- Accession Number:
- 0001567619-21-019038
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2021-10-29 20:39:45
- Reporting Period:
- 2021-10-26
- Accepted Time:
- 2021-10-29 20:39:45
- SEC Url:
- Form 4 Filing
Issuer
| Cik | Name | Symbol | Sector (SIC) | IRS No |
|---|---|---|---|---|
| 1667011 | Arteris Inc. | AIP | Semiconductors & Related Devices (3674) | 000000000 |
Insiders
| Cik | Name | Reported Address | Insider Title | Director | Officer | Large Shareholder | Other |
|---|---|---|---|---|---|---|---|
| 1888679 | C Wayne Cantwell | C/O Arteris, Inc. 595 Millich Dr., Suite 200 Campbell CA 95008 | Yes | No | No | No |
Reported Non-Derivative Transactions
| Sec. Name | Acquisiton - Disposition | Date | Amount | Price | Remaning Holdings | Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|---|---|---|---|---|---|
| Common Stock | Acquisiton | 2021-10-29 | 38,760 | $0.00 | 38,760 | No | 4 | C | Indirect | By: Crescendo Ventures 401K Profit Sharing Plan FBO Wayne Cantwell |
| Common Stock | Acquisiton | 2021-10-29 | 1 | $18.75 | 38,761 | No | 4 | P | Indirect | By: Crescendo Ventures 401K Profit Sharing Plan FBO Wayne Cantwell |
| Common Stock | Acquisiton | 2021-10-26 | 8,333 | $0.00 | 208,333 | No | 4 | A | Direct |
| Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|
| No | 4 | C | Indirect | By: Crescendo Ventures 401K Profit Sharing Plan FBO Wayne Cantwell |
| No | 4 | P | Indirect | By: Crescendo Ventures 401K Profit Sharing Plan FBO Wayne Cantwell |
| No | 4 | A | Direct |
Reported Derivative Transactions
| Sec. Name | Sec. Type | Acquisiton - Disposition | Date | Amount | Price | Amount - 2 | Price - 2 |
|---|---|---|---|---|---|---|---|
| Common Stock | Series A Preferred Stock | Disposition | 2021-10-29 | 38,760 | $0.00 | 38,760 | $0.00 |
| Remaning Holdings | Exercise Date | Expiration Date | Equity Swap Involved | Transaction Form Type | Transaction Code | Nature of Ownership |
|---|---|---|---|---|---|---|
| 38,760 | No | 4 | C | Indirect |
Footnotes
- Each share of the Issuer's Series A Preferred Stock automatically converted into one (1) share of the Issuer's Common Stock immediately upon the closing of the Issuer's initial public offering. The shares had no expiration date.
- Includes 8,333 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 in full on the earlier of (i) the first anniversary of the grant date and (ii) immediately before the Annual Meeting following the grant date, subject to the reporting person continuing to provide services to Issuer's Board through such vesting date. The RSUs have no expiration date.
- Includes 58,333 restricted stock units.
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