AIP Insider Report: Alpern’s 10,000-Share Exercise and Sale Under 10b5-1 Plan

Rhea-AI Filing Summary

Paul L. Alpern, who is listed as a director and as an officer (VP and General Counsel) of Arteris, Inc. (AIP), reported a set of transactions dated 09/15/2025 made pursuant to a 10b5-1 trading plan adopted June 5, 2025. The filing shows an acquisition of 10,000 common shares at a $0.56 exercise/conversion price and a simultaneous sale of 10,000 common shares at a weighted average price of $8.8805 (sales executed across $8.73–$8.97). After these transactions, the reporting person’s direct beneficial ownership in common stock was reported as 73,587 shares. The derivative table shows the reporting person holds options exercisable 09/15/2025 with a $0.56 strike for 10,000 underlying shares and reports 90,000 derivative securities beneficially owned following the reported transactions. The filing is signed 09/17/2025.

Positive

• Transactions executed under a 10b5-1 plan, indicating pre-planned and compliant insider trading
• Detailed disclosure including weighted average sale price range and offer to provide per-lot prices on request

Negative

• Insider sold 10,000 shares, reducing direct beneficial ownership from 83,587 to 73,587 shares
• Immediate monetization of exercised options could be viewed as partial liquidation of insider holdings

Insights

Securities/Equity Analyst

TL;DR: Routine insider exercise and sale under a pre-established 10b5-1 plan, showing partial liquidity with continued significant derivative holdings.

The Form 4 discloses an insider exercise at a low strike and immediate sale under a 10b5-1 plan, which is common when executives monetize vested option value while following an advance plan to avoid timing issues. The weighted average sale price of $8.8805 versus a $0.56 exercise price implies a material per-share gain on the exercised options for the reporting person on these 10,000 shares. The post-transaction direct holding of 73,587 shares and 90,000 derivative securities indicate the reporting person retains substantial economic exposure to AIP equity after monetizing a portion of vested shares.

Corporate Governance Expert

TL;DR: Disclosure follows governance best practices via 10b5-1 plan and timely reporting; sale is pre-planned not ad hoc.

The filing documents compliance steps: adoption of a 10b5-1 plan on June 5, 2025 is explicitly noted and the filing provides a weighted-average sale price range and an offer to disclose per-lot pricing if requested. This transparency aligns with governance norms for insider transactions. The simultaneous exercise and sale reduces insider share count but does not suggest undisclosed selective trading because transactions are tied to an established plan and are reported promptly.

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

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Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b).

1. Name and Address of Reporting Person^*

Alpern Paul L

(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 General Counsel

3. Date of Earliest Transaction (Month/Day/Year)
09/15/2025

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	09/15/2025		M(1)		10,000	A	$0.56	83,587	D
Common Stock	09/15/2025		S(1)		10,000	D	$8.8805(2)	73,587	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
Common Stock	$0.56	09/15/2025		M(1)			10,000	(3)	10/23/2029	Common Stock	10,000	$0.00	90,000	D

Explanation of Responses:

1. Transaction made pursuant to a 10b5-1 trading plan that was adopted by the Reporting Person on June 5, 2025.

2. The price reported in Column 4 is a weighted average sale price. These shares were sold in multiple transactions at prices ranging from $8.73 to $8.97inclusive. The Reporting Person undertakes to provide the Issuer, any security holder of the Issuer, 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 in this footnote.

3. 25% of the total shares vested on August 26, 2020; thereafter, 1/48th of the total shares have vested monthly for 3 years, beginning on September 26,2020.

	/s/ Paul Alpern	09/17/2025
	** 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.
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FAQ

What did Paul L. Alpern report on the Form 4 for Arteris (AIP)?

The Form 4 reports that Paul L. Alpern acquired 10,000 common shares at a $0.56 price and sold 10,000 common shares at a weighted average price of $8.8805 on 09/15/2025 under a 10b5-1 trading plan.

How many shares did Alpern own after the reported transactions?

After the transactions the filing reports 73,587 shares beneficially owned directly by the reporting person.

Was the selling done under a pre-established plan?

Yes. The filing states these transactions were made pursuant to a 10b5-1 trading plan adopted by the reporting person on June 5, 2025.

What was the sale price range and the reported weighted average?

The shares were sold in multiple transactions at prices ranging from $8.73 to $8.97 with a reported weighted average sale price of $8.8805.

Does the Form 4 show any derivative holdings?

Yes. The derivative table reports options with a $0.56 exercise price exercisable 09/15/2025 underlying 10,000 shares and indicates 90,000 derivative securities beneficially owned following the transactions.