Aeries Technology SEC Filings

Aeries Technology insider conversion increases Class A holdings. On 09/22/2025 the reporting person, who is both Chief Executive Officer and a Director, exercised exchange rights to convert 59,110 Aeries Shares into 851,184 Class A Ordinary Shares at an exchange rate of 14.40 Class A Shares per Aeries Share. After the exchange, the reporting person beneficially owned 2,507,440 Class A Ordinary Shares. The Form 4 also discloses related put and call exchange rights and that certain Aeries Shares held by an ESOP Trust are considered in the reporting person’s beneficial ownership assumptions.

Insider grant and immediate vesting: Nina B. Shapiro, a director of Aeries Technology, Inc. (AERT), was granted 125,000 restricted stock units on September 9, 2025, that convert one-for-one into Class A ordinary shares and vested in full on the grant date. The transaction was reported on a Form 4 filed September 11, 2025, and shows Ms. Shapiro directly beneficially owns 125,000 Class A ordinary shares following the grant. The RSUs carried no purchase price to Ms. Shapiro per the filing.

Alok Kochhar, a director of Aeries Technology, Inc. (AERT), was granted 125,000 restricted stock units on 09/09/2025 that vested in full on the grant date. The restricted stock units convert one-for-one into Class A ordinary shares of Aeries Technology, par value $0.0001, and the filing reports 125,000 Class A ordinary shares beneficially owned following the transaction in a direct ownership form. The reported transaction code is A with a reported price of $0, indicating issuance as compensation rather than an open-market purchase. The Form 4 was executed on behalf of Mr. Kochhar by an attorney-in-fact and signed on 09/11/2025. The filing includes a power of attorney exhibit.

Amendment No. 2 to Schedule 13D reports that Bhisham Khare, Chief Executive Officer of Aeries Technology, Inc. (AERT), beneficially owns 3,358,624 Class A Ordinary Shares, representing 6.9% of the outstanding Class A shares based on 47,152,626 shares outstanding. The filing reflects an exchange agreement that caused Mr. Khare to be deemed to beneficially own up to 1,701,941 Class A Ordinary Shares, including shares attributable to ATG shares held by an ESOP Trust for which he is a beneficiary.

The amendment discloses that the issuer withheld 810,003 Class A Ordinary Shares on March 10, 2025, and 5,101 shares on February 26, 2025, to cover Mr. Khare's tax liabilities upon settlement of 2,471,360 RSUs that vested and were settled between August 15, 2024 and March 15, 2025. The filing states that the reporting person did not pay cash for the reported shares aside from the tax-withholding events and that the source of funds is marked "OO."

Daniel S. Webb, who serves as CFO and CIO of Aeries Technology, Inc. (AERT), reported the sale of 35,405 Class A ordinary shares on 09/02/2025. The shares were sold under a Rule 10b5-1 trading plan adopted on March 14, 2025, at a weighted average price of $0.649 per share, with individual sale prices ranging from $0.56 to $0.7311. After the transaction, Mr. Webb beneficially owned 1,048,371 shares, held directly. The filing is signed and dated 09/04/2025.

Daniel S. Webb, the Chief Financial Officer and Chief Information Officer of Aeries Technology, Inc. (AERT), reported a sale on 03/10/2025 of 218,909 Class A ordinary shares at an effective price of $0.564 per share. The filing states these shares were withheld by the company to cover tax withholding upon settlement of restricted stock units. After the reported disposition, Mr. Webb beneficially owns 1,083,776 Class A ordinary shares (direct ownership). The Form 4 is individually filed and signed by Mr. Webb on 09/04/2025. The report contains no derivative transactions and no other material changes disclosed.

Aeries Technology, Inc. (AERT) Form 4 summary: Chief Technology Officer Unnikrishnan Nambiar reported a transaction dated 03/10/2025 in Class A Ordinary Shares. The filing shows 240,087 shares disposed under transaction code F at a price of $0.564 per share, leaving 414,598 shares beneficially owned by the reporting person as of the reported transaction. The filing explains these shares were withheld by the company to cover tax liability upon settlement of restricted stock units. The Form 4 was signed by an attorney-in-fact on behalf of the reporting person on 09/04/2025. All information is taken directly from the Form 4 content.

Aeries Technology, Inc. (AERT) director and Chief Executive Officer Bhisham Khare reported a disposition of Class A ordinary shares on 03/10/2025. The Form 4 shows 810,003 shares were disposed at an indicated price of $0.564 per share. The filing states these shares were withheld by the company to cover tax liability upon settlement of restricted stock units. After the transaction, Mr. Khare beneficially owned 1,656,256 Class A shares as reported on the form. The Form 4 was signed by an attorney-in-fact, Daniel S. Webb, on 09/04/2025. The reporting person’s address is shown in Singapore.