Form Type: 4

SEC EDGAR Link
Accession Number:0001834515-21-000003
Date:2021-08-31
Issuer: ATERIAN, INC. (ATER)
Original Submission Date:

Reporting Person:

9830 MACARTHUR, LLC
30 N. GOULD ST, SUITE R
SHERIDAN, WY 82801

Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
Title of SecurityTransaction Date2a. Deemed Execution Date Transaction CodeSharesAcquired or DisposedPrice per share 5. Amount of Securities Beneficially Owned Following Reported Transaction 6. Ownership Form Direct or IndirectNature of Indirect Ownership
COMMON STOCK ($0.0001 PAR VALUE) 2021-09-17 P 1,468,700 a $7.71 3,246,701 indirect f1
Derivative Securities Acquired, Disposed of, or Beneficially Owned
(e.g., puts, calls, warrants, convertible securities
Title of Derivative Security Conversion or Exercise Price of Derivative Security Transaction Date Deemed Execution Date Transaction Code Number of Derivative Securities Acquired (A) or Disposed of (D) Date ExercisableExpiration Date Title and Amount of Securities Underlying Derivative Security Price of Derivative Security Number of derivative Securities Beneficially Owned Following Reported Transaction(s) Ownership Form: Direct (D) or Indirect (I) Nature of Indirect Beneficial Ownership
Footnotes
IDfootnote
f1 9830 macarthur, llc ("macarthur") isa private investment vehicle. macarthur directly owns the securities reported herein. nijor childrens's trust ua 1/2/2017 ( the "trust" ) is the manager of macarthur. jelena puzovic is the trustee of the trust. each reporting person disclaims beneficial ownership of all securities reported herein, except to the extent of their pecuniary interest therein, if any, and this report shall not be deemed an admission that such reporting person is the beneficial owner of such securities for purposes of section 16 of the securities and exchange act of 1934 or for any other purpose.
f2 all prices reported herein are exclusive of brokerage commissions. these shares were disposed at an average price of $7.71. these transactions were transacted from 8/31 through 9/13/21 via assignment of shares on a covered call option strategy for the sep 17,2021 expiration date. the strike prices of the calls that were assigned include the following strikes: $3.00, $3.50, $.4.00, $4.50. $5.00. $5.50, $7.50 and $10.00. reporting persons undertake to provide to 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 assigned at each separate strike within the foregoing range.
f3 this is the expiration date of the covered call option strategy that assigned the shares. shares were assigned from 8/31 through 9/13/2021. reporting persons undertake to provide to the issuer, any security holder of the issuer, or the staff of the securities and exchange commission, upon request, full information regarding the specific dates and number of shares and specific strikes.

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