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AIP Form 4: CFO Hawkins Sells 6,421 Shares Under 10b5-1 Plan

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

Rhea-AI Filing Summary

Insider sale under 10b5-1 plan. The filing shows that Nicholas B. Hawkins, Vice President and Chief Financial Officer of Arteris, Inc. (AIP), sold 6,421 shares of common stock on 10/07/2025 at a weighted average price of $13.2073 per share. The report states the sales were executed under a 10b5-1 trading plan adopted on 06/04/2025. After the transactions, Hawkins beneficially owned 93,590 shares. The filer notes the sale prices ranged from $12.85 to $14.11 and offers to disclose per‑price quantities on request.

Positive

  • Sale executed under a 10b5-1 plan, indicating pre‑arranged, rule‑compliant trading
  • Full disclosure of weighted average price and price range, offering transparency

Negative

  • Officer decreased holdings by 6,421 shares, a measurable reduction of insider stake
  • No per‑price quantities provided in the filing; additional detail requires requester follow‑up

Insights

Officer sold a modest slice of holdings under an established 10b5-1 plan.

The sale of 6,421 shares on 10/07/2025 at a weighted average of $13.2073 was executed pursuant to a 10b5-1 plan adopted on 06/04/2025. Using a pre‑arranged plan provides an affirmative defense under Rule 10b5‑1 by separating the timing decision from any contemporaneous insider knowledge.

Dependencies and risks include the plan terms and whether additional scheduled trades remain; investors may review outstanding plan schedules or future filings for changes within the next 90–180 days.

The transaction modestly reduced the officer's stake but left substantive holdings intact.

The reported sale reduced beneficial ownership by 6,421 shares, leaving 93,590 shares outstanding for the reporting person. This is a concrete ownership change that is fully disclosed and quantifiable in the filing.

Material impact is limited absent larger or repeated dispositions; monitor subsequent Forms 4 filings and any disclosures of additional plan executions over the coming quarter for potential shifts in insider ownership trends.

Insider Hawkins Nicholas B.
Role VP and Chief Financial Officer
Sold 6,421 shs ($85K)
Type Security Shares Price Value
Sale Common Stock 6,421 $13.2073 $85K
Holdings After Transaction: Common Stock — 93,590 shares (Direct)
Footnotes (1)
  1. Transaction made pursuant to a 10b5-1 trading plan that was adopted by the Reporting Person on June 4, 2025. The price reported in Column 4 is a weighted average sale price. These shares were sold in multiple transactions at prices ranging from $12.85 to $14.11 inclusive. 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.
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)
10/07/2025
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 10/07/2025 S(1) 6,421 D $13.2073(2) 93,590 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 June 4, 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 $12.85 to $14.11 inclusive. 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.
Remarks:
/s/ Paul Alpern, as Attorney-in-Fact for Hawkins Nicholas B. 10/08/2025
** 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

What did Arteris (AIP) insider Nicholas Hawkins sell on 10/07/2025?

The filing shows Nicholas B. Hawkins sold 6,421 shares of common stock on 10/07/2025 at a weighted average price of $13.2073 per share.

Was the sale by the AIP CFO part of a 10b5-1 plan?

Yes. The sale was made pursuant to a 10b5-1 trading plan that the reporting person adopted on 06/04/2025.

How many AIP shares does Hawkins own after the reported transaction?

After the transaction the reporting person beneficially owned 93,590 shares.

What price range were the AIP shares sold at?

The filing states the shares were sold at prices ranging from $12.85 to $14.11, with a weighted average of $13.2073.

Does the Form 4 provide per‑price quantities for the sales?

No. The filer offers to provide per‑price quantities to the issuer, shareholders, or SEC staff upon request.