Aterian, Inc. filings document material events for a public consumer products company with a portfolio of e-commerce brands and online retail channels. Recent Form 8-K disclosures cover operating results, Regulation FD updates, credit agreement amendments, liquidity covenants, availability reserves, exhibits to material definitive agreements and other capital-structure matters.
The filing record also includes governance and shareholder-vote disclosures, including annual meeting matters, advisory vote frequency decisions, executive compensation voting procedures and officer transition reporting. These filings frame Aterian’s formal disclosures around financial performance, financing arrangements, board and stockholder actions, and corporate strategy updates.
Aterian, Inc. entered into an unsecured promissory note with stockholder Chen Zhipeng, who agreed to make advances of up to $1,000,000. Advances accrue interest at 8.0% per annum; the note matures eight months after its date, subject to extension by mutual written agreement. Aterian may request draws before maturity, with each request subject to Chen’s written approval. Aterian’s direct financial obligation arises as advances are funded.
If Aterian proposes a cash private placement of equity or equity-linked securities, it must notify Chen at least 18 calendar days before the anticipated closing. Chen may elect cash repayment or apply all or part of the amount owed toward the placement at the same price and substantially the same terms as cash investors. If no such placement closes before maturity, Chen may elect conversion at a price equal to the Nasdaq Listing Rule 5635(d) “Minimum Price.” Issuances are subject to Nasdaq limits and applicable stockholder approval; any amount that cannot be applied or converted is payable in cash.
Aterian, Inc. dismissed UHY LLP as its independent registered public accounting firm effective October 2, 2026, and appointed Haskell & White LLP effective immediately for the fiscal year ending December 31, 2026. UHY’s audit reports for the fiscal years ended December 31, 2025 and 2024 included a going-concern explanatory paragraph citing recurring operating losses, recurring negative operating cash flows, and possible difficulty funding day-to-day operations and complying with certain credit-facility covenants. Aterian reported no disagreements with UHY or reportable events during those fiscal years and the interim period through October 2, 2026.
Arturo Rodriguez’s employment ended September 30, 2026, after serving as Chief Executive Officer and then as a non-executive employee. Aterian engaged him as an independent contractor for limited advisory services at $250 per hour, subject to a limit of 12 hours per week and a $77,000 aggregate fee cap. Services are expected through November 20, 2026, then month-to-month until either party terminates the agreement, and no later than March 31, 2027.
Aterian, Inc. ten-percent owner Michelle Chiam Sin Ling agreed, as one of multiple purchasers, to privately purchase 193,347 shares of Series AAA Preferred Stock from David E. Lazar, the seller, for an aggregate purchase price of $1,296,000. The preferred shares were subsequently converted into 26,121,180 common shares; she held that number of common shares directly following the transaction.
At Aterian, Inc., 10% owner Chang Woei Jiann, as one of multiple purchasers, agreed to purchase 193,347 shares of Series AAA Preferred Stock from seller David E. Lazar for an aggregate purchase price of $1,296,000 under an agreement entered into September 1, 2026. The contemplated transactions occurred September 25, 2026, and the preferred shares were subsequently converted into 26,121,180 shares of Common Stock.
Aterian, Inc. (ATER) investor Chang Woei Jiann purchased 193,347 shares of Series AAA Preferred Stock from David E. Lazar, then the issuer’s controlling shareholder, for an aggregate purchase price of $1,296,000. The preferred shares were subsequently converted into 26,121,180 shares of common stock. The transactions under the agreement occurred on September 25, 2026. Based on 261,129,410 common shares outstanding, Jiann reported beneficial ownership of approximately 10.00%.
In connection with the closing, William H Crampton was appointed to Aterian’s board to fill a vacancy following Avraham Ben-Tzv’s resignation. Jiann stated that, depending on prevailing market, economic and other conditions, he may acquire additional common stock or discuss future acquisitions with Aterian.
Aterian, Inc. (ATER) shares were acquired by Michelle Chiam Sin Ling in a private transaction completed on September 25, 2026. She was one of multiple purchasers who bought 193,347 shares of Series AAA Preferred Stock from David E. Lazar, then the issuer’s controlling shareholder, for an aggregate purchase price of $1,296,000. The preferred shares were subsequently converted into 26,121,180 common shares.
After the transaction, Chiam Sin Ling beneficially owned 26,121,180 common shares, approximately 10.00% of Aterian’s 261,129,410 shares outstanding. William H. Crampton was appointed to the board to fill a vacancy following Avraham Ben-Tzv’s resignation. Chiam Sin Ling stated that, depending on prevailing market, economic and other conditions, she may acquire additional common stock or discuss future acquisitions with Aterian.
Aterian, Inc. director William H. Crampton reported direct holdings of 301,205 shares of common stock. The reported shares consist of restricted stock granted on September 25, 2026, under the company's 2018 Equity Incentive Plan and are subject to vesting.
Aterian, Inc. (ATER) reported that David E. Lazar beneficially owned 8,038,030 common shares, or 3.1% of the class, and stated that he ceased to beneficially own more than 5% on September 25, 2026.
On September 24, Lazar converted 168,900 Series AA Preferred Stock shares into 1,300,530 common shares. Under a September 1 Securities Purchase Agreement, he agreed to sell 706,100 Series AA and 1,750,000 Series AAA Preferred Stock shares to multiple purchasers for an aggregate purchase price of $12,000,000. The preferred shares are convertible into an aggregate of 241,861,970 common shares, and the transactions occurred on September 25. The reported 3.1% calculation used 261,129,410 common shares outstanding.
Aterian, Inc. Chief Executive Officer David E. Lazar converted 168,900 Series AA preferred shares into 1,300,530 common shares for no additional consideration. On September 25, 2026, he sold 706,100 Series AA and 1,750,000 Series AAA preferred shares to multiple purchasers for an aggregate purchase price of $12,000,000, which the agreement did not allocate between the two series. His reported common-stock holdings following the conversion were 8,038,030 shares; his Series AAA holdings following the sale were zero. No Rule 10b5-1 plan is reported.
Aterian, Inc. director David Natan acquired 301,205 shares of restricted common stock on September 25, 2026, as a grant under the company's 2018 Equity Incentive Plan. The shares are subject to vesting, and his reported direct holdings following the transaction were 301,205 shares.