Aterian (NASDAQ: ATER) CEO receives 70,000 restricted shares in retention grant

Filing Impact

(Neutral)

Filing Sentiment

(Neutral)

Form Type

Rhea-AI Filing Summary

Rodriguez Arturo reported acquisition or exercise transactions in this Form 4 filing.

Aterian, Inc. Chief Executive Officer Arturo Rodriguez received a grant of 70,000 shares of restricted common stock at $0.00 per share. The award was granted under the company’s 2018 Equity Incentive Plan, is subject to vesting, and was approved by the Compensation Committee for retention purposes. Following this grant, Rodriguez directly holds 1,081,148 shares of common stock.

Insider Trade Summary

1 transaction reported

Mixed 1 txn

Insider Rodriguez Arturo

Role Chief Executive Officer

Type	Security	Shares	Price	Value
Grant/Award	Common Stock	70,000	$0.00	--

Holdings After Transaction: Common Stock — 1,081,148 shares (Direct, null)

Footnotes (1)

Comprised of shares of restricted common stock granted pursuant to the Issuer's 2018 Equity Incentive Plan that are subject to vesting. The reported award was granted outside of the Company's regular annual equity grant cycle and was approved by the Compensation Committee for retention purposes.

Key Figures

Restricted stock grant: 70,000 shares Grant price: $0.00 per share Shares held after grant: 1,081,148 shares

3 metrics

Restricted stock grant 70,000 shares Common stock award to CEO on 2026-05-21

Grant price $0.00 per share Restricted common stock grant to CEO

Shares held after grant 1,081,148 shares CEO direct ownership following transaction

Key Terms

restricted common stock, 2018 Equity Incentive Plan, Compensation Committee, vesting

4 terms

restricted common stock financial

"Comprised of shares of restricted common stock granted pursuant to the Issuer's 2018 Equity Incentive Plan"

Restricted common stock is company shares that carry limits on selling or transferring for a set period or until certain conditions are met, like time-based vesting or regulatory clearance. Think of them as shares in a locked box that gradually open; they can become freely tradable later but initially reduce the number of shares available on the market. Investors watch restricted stock because its eventual release can change a company’s share supply, affect stock price, and influence control and dilution.

2018 Equity Incentive Plan financial

"restricted common stock granted pursuant to the Issuer's 2018 Equity Incentive Plan"

Compensation Committee financial

"was approved by the Compensation Committee for retention purposes"

A compensation committee is a group within a company's leadership responsible for setting and reviewing how much top executives and employees are paid, including salaries, bonuses, and benefits. It matters to investors because fair and effective pay decisions can influence a company's performance, leadership motivation, and overall governance, helping ensure that the company’s management is aligned with shareholders’ interests.

vesting financial

"shares of restricted common stock granted pursuant to the Issuer's 2018 Equity Incentive Plan that are subject to vesting"

Vesting is the process by which you earn full ownership of something, like company stock or a retirement benefit, over time. It’s like earning the right to keep a gift piece by piece the longer you stay with a company, making sure employees stay committed before they receive all the benefits.

Form 4 Insider Transactions: What Each Field Means →

05/22/2026 - 04:15 PM

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).

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^*

Rodriguez Arturo

(Last)

(First)

(Middle)

350 SPRINGFIELD AVENUE SUITE #200

(Street)

SUMMIT

NEW JERSEY

07901

(City)

(State)

(Zip)

UNITED STATES

(Country)

2. Issuer Name and Ticker or Trading Symbol
Aterian, Inc. [ ATER ]

5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)

X	Director	10% Owner
X	Officer (give title below)	Other (specify below)
	Chief Executive Officer

2a. Foreign Trading Symbol

3. Date of Earliest Transaction (Month/Day/Year)
05/21/2026

6. Individual or Joint/Group Filing (Check Applicable Line)

X	Form filed by One Reporting Person
	Form filed by More than One Reporting Person

4. If Amendment, Date of Original Filed (Month/Day/Year)

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)
1. Title of Security (Instr. 3)	2. Transaction Date (Month/Day/Year)	2A. Deemed Execution Date, if any (Month/Day/Year)	Code	V	Amount	(A) or (D)	Price		6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4)	7. Nature of Indirect Beneficial Ownership (Instr. 4)
Common Stock	05/21/2026		A⁽¹⁾⁽²⁾		70,000	A	$0	1,081,148	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)
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)	Code	V	(A)	(D)	Date Exercisable	Expiration Date	Title	Amount or Number of Shares	8. Price of Derivative Security (Instr. 5)		10. Ownership Form: Direct (D) or Indirect (I) (Instr. 4)	11. Nature of Indirect Beneficial Ownership (Instr. 4)

Explanation of Responses:

1. Comprised of shares of restricted common stock granted pursuant to the Issuer's 2018 Equity Incentive Plan that are subject to vesting.

2. The reported award was granted outside of the Company's regular annual equity grant cycle and was approved by the Compensation Committee for retention purposes.

	/s/ Arturo Rodriguez	05/21/2026
	** 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.
* Form 4: SEC 1474 (03-26)

Source: View Original Filing on SEC EDGAR

FAQ

What insider transaction did Aterian (ATER) report for CEO Arturo Rodriguez?

Aterian reported that CEO Arturo Rodriguez received 70,000 shares of restricted common stock. The shares were granted at $0.00 per share under the 2018 Equity Incentive Plan and are subject to vesting conditions tied to continued service.

Is the Aterian (ATER) CEO stock grant part of the regular annual equity cycle?

No. The filing states the 70,000-share restricted stock award was granted outside Aterian’s regular annual equity grant cycle. It was specifically approved by the Compensation Committee for retention purposes, indicating it is an additional, off-cycle compensation award.

How many Aterian (ATER) shares does CEO Arturo Rodriguez hold after this grant?

After receiving the 70,000 restricted shares, Arturo Rodriguez directly holds 1,081,148 shares of Aterian common stock. This figure reflects his total direct ownership immediately following the reported grant in the Form 4 insider transaction filing.

What are the terms of the Aterian (ATER) restricted stock granted to the CEO?

The 70,000 Aterian shares are restricted common stock granted under the 2018 Equity Incentive Plan. The filing notes these shares are subject to vesting, meaning Rodriguez must satisfy specified conditions, typically continued employment, before fully owning them.

Why did Aterian (ATER) grant an off-cycle stock award to its CEO?

According to the filing, the Compensation Committee approved the 70,000-share restricted stock award for retention purposes. This suggests the grant is intended to help retain CEO Arturo Rodriguez by tying additional equity compensation to his continued service with Aterian.