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Planned Insider Sale: Arteris Finance Chief Cuts Stake by 7%

Filing Impact
(High)
Filing Sentiment
(Negative)
Form Type
4

Rhea-AI Filing Summary

Arteris (NASDAQ:AIP) filed a Form 4 showing that VP & CFO Nicholas B. Hawkins sold a total of 11,276 common shares on 25-26 Jun 2025 under a pre-arranged Rule 10b5-1 plan.

  • Sales volume: 5,638 shares at $9.50 and 5,638 at $9.75, raising roughly $108k.
  • Ownership impact: holdings fell from 161,937 to 150,661 shares, a 7% reduction.
  • Plan history: the 10b5-1 plan was adopted 20 May 2024; no derivative transactions were reported.

The transaction is modest in dollar terms but material in percentage for a C-suite executive, potentially influencing short-term sentiment.

Positive

  • None.

Negative

  • CFO insider sale: Nicholas B. Hawkins disposed of 11,276 shares (~7% of his holdings) for about $108k, which may weigh on investor sentiment despite 10b5-1 status.

Insights

TL;DR: CFO trims stake by 7%; small cash value yet negative optics.

The ~$108k disposal is insignificant to market cap but noteworthy because it removes 11,276 shares and comes just weeks before Q2 results. Although executed under a Rule 10b5-1 plan, investors often interpret any C-suite sale as a bearish signal. The CFO still retains 150,661 shares, so alignment remains, but further scheduled sales could snowball into sentiment pressure.

TL;DR: Pre-planned sale meets governance norms; limited strategic impact.

The trade follows the SEC's updated 10b5-1 cooling-off requirements, reducing information-asymmetry concerns. A 7% reduction keeps Hawkins’ residual stake above typical alignment thresholds, suggesting liquidity rather than outlook-driven motives. Without accompanying negative news, governance risk stays low, rendering the overall impact neutral.

Insider Hawkins Nicholas B.
Role VP and Chief Financial Officer
Sold 11,276 shs ($109K)
Type Security Shares Price Value
Sale Common Stock 5,638 $9.75 $55K
Sale Common Stock 5,638 $9.50 $54K
Holdings After Transaction: Common Stock — 150,661 shares (Direct)
Footnotes (1)
  1. [object Object]
Form 4 Insider Transactions: What Each Field Means →
SEC Form 4
FORM 4 UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549

STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP

Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934
or Section 30(h) of the Investment Company Act of 1940
OMB APPROVAL
OMB Number: 3235-0287
Estimated average burden
hours per response: 0.5
Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b).
X
 Check this box to indicate that a transaction was made pursuant to a contract, instruction or written plan for the purchase or sale of equity securities of the issuer that is intended to satisfy the affirmative defense conditions of Rule 10b5-1(c). See Instruction 10.
1. Name and Address of Reporting Person*
Hawkins Nicholas B.
(Last) (First) (Middle)
C/O ARTERIS, INC.
900 E. HAMILTON AVE., SUITE 300
(Street)
CAMPBELL CA 95008
(City) (State) (Zip)
2. Issuer Name and Ticker or Trading Symbol
Arteris, Inc. [ AIP ] 		5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
Director 10% Owner
X Officer (give title below) Other (specify below)
VP and Chief Financial Officer
3. Date of Earliest Transaction (Month/Day/Year)
06/25/2025
4. If Amendment, Date of Original Filed (Month/Day/Year)
 6. Individual or Joint/Group Filing (Check Applicable Line)
X Form filed by One Reporting Person
Form filed by More than One Reporting Person
Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
1. Title of Security (Instr. 3) 2. Transaction Date (Month/Day/Year) 2A. Deemed Execution Date, if any (Month/Day/Year) 3. Transaction Code (Instr. 8) 4. Securities Acquired (A) or Disposed Of (D) (Instr. 3, 4 and 5) 5. Amount of Securities Beneficially Owned Following Reported Transaction(s) (Instr. 3 and 4) 6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4) 7. Nature of Indirect Beneficial Ownership (Instr. 4)
Code V Amount (A) or (D) Price
Common Stock 06/25/2025 S(1) 5,638 D $9.5 156,299 D
Common Stock 06/26/2025 S(1) 5,638 D $9.75 150,661 D
Table II - Derivative Securities Acquired, Disposed of, or Beneficially Owned
(e.g., puts, calls, warrants, options, convertible securities)
1. Title of Derivative Security (Instr. 3) 2. Conversion or Exercise Price of Derivative Security 3. Transaction Date (Month/Day/Year) 3A. Deemed Execution Date, if any (Month/Day/Year) 4. Transaction Code (Instr. 8) 5. Number of Derivative Securities Acquired (A) or Disposed of (D) (Instr. 3, 4 and 5) 6. Date Exercisable and Expiration Date (Month/Day/Year) 7. Title and Amount of Securities Underlying Derivative Security (Instr. 3 and 4) 8. Price of Derivative Security (Instr. 5) 9. Number of derivative Securities Beneficially Owned Following Reported Transaction(s) (Instr. 4) 10. Ownership Form: Direct (D) or Indirect (I) (Instr. 4) 11. Nature of Indirect Beneficial Ownership (Instr. 4)
Code V (A) (D) Date Exercisable Expiration Date Title Amount or Number of Shares
Explanation of Responses:
1. Transaction made pursuant to a 10b5-1 trading plan that was adopted by the Reporting Person on May 20, 2024.
Remarks:
/s/ Paul Alpern, as Attorney-in-Fact for Hawkins Nicholas B. 06/26/2025
** Signature of Reporting Person Date
Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly.
* If the form is filed by more than one reporting person, see Instruction 4 (b)(v).
** Intentional misstatements or omissions of facts constitute Federal Criminal Violations See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a).
Note: File three copies of this Form, one of which must be manually signed. If space is insufficient, see Instruction 6 for procedure.
Persons who respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB Number.

Source: View Original Filing on SEC EDGAR

FAQ

How many shares did AIP's CFO sell on June 25-26 2025?

He sold 5,638 shares at $9.50 on June 25 and 5,638 at $9.75 on June 26, totaling 11,276 shares.

What percentage of his holdings did the sale represent?

The two transactions reduced his stake from 161,937 to 150,661 shares, a decline of roughly 7%.

Was the transaction executed under a Rule 10b5-1 trading plan?

Yes. The filing states the trades were made pursuant to a 10b5-1 plan adopted on May 20 2024.

How many shares does Nicholas B. Hawkins still own after the sale?

He beneficially owns 150,661 common shares following the reported transactions.

What was the total cash value of the shares sold?

Approximately $108,500 based on the disclosed sale prices of $9.50 and $9.75.