English

Insider transactions

EDGAR

ATERIAN, INC.

Transactions reported by directors, officers and 10% owners on SEC Forms 3, 4 and 5, read from each filing’s XML. Codes and their wording are the SEC’s own.

A Form 4 is due within two business days of the transaction, so the most recent trades may not be filed yet.

Window: transactions dated on or after 2025-11-15.

Open-market purchases (code P): 0 transactions, — shares
Open-market sales (code S): 0 transactions, — shares

Totals add the filed transactions listed; they are counts of what was reported, not a measure of direction.

Showing 1–16 of 16

Insider transactions, newest first, as filed on SEC Forms 3, 4 and 5
Date	Reporting owner	Code	Acquired or disposed	Shares	Price per share, as filed	Value (derived)	Shares owned after	Direct or indirect	Rule 10b5-1 box	Notes	Source
2026-09-25 Filed 2026-09-29	Lazar David E. Director · Officer: Chief Executive Officer · Other: Former 10% Owner	S Open market or private sale of non-derivative or derivative security Derivative security: Series AAA Convertible Non-Redeemable Preferred Stock — underlying Common Stock (236,425,000) — exercise price 0.0148	Disposed (D)	1,750,000	6.703	11,730,250 Derived: shares × price per share. Exact value 11730250.000.	0	Direct (D)	No	F3, F2 F3 On September 25, 2026, the Reporting Person sold 706,100 Series AA Preferred Shares and 1,750,000 Series AAA Preferred Shares to multiple purchasers for an aggregate purchase price of $12,000,000, pursuant to a Securities Purchase Agreement. The aggregate purchase price was not allocated between the Series AA Preferred Shares and the Series AAA Preferred Shares in the Securities Purchase Agreement; the per-share prices reported reflect an allocation of the aggregate purchase price between the two series pro rata based on the number of shares of Common Stock underlying each series. F2 Each of the Series AA Preferred Shares and the Series AAA Convertible Non-Redeemable Preferred Stock (the Series AAA Preferred Shares) are perpetual and therefore have no expiration date.	Open filing 0001829126-26-010590 Read from the filing’s XML Dispute this row
2026-09-25 Filed 2026-09-29	Lazar David E. Director · Officer: Chief Executive Officer · Other: Former 10% Owner	S Open market or private sale of non-derivative or derivative security Derivative security: Series AA Convertible Non-Redeemable Preferred Stock — underlying Common Stock (5,436,970) — exercise price 0.2597	Disposed (D)	706,100	0.382	269,730.2 Derived: shares × price per share. Exact value 269730.200.	0	Direct (D)	No	F3, F2 F3 On September 25, 2026, the Reporting Person sold 706,100 Series AA Preferred Shares and 1,750,000 Series AAA Preferred Shares to multiple purchasers for an aggregate purchase price of $12,000,000, pursuant to a Securities Purchase Agreement. The aggregate purchase price was not allocated between the Series AA Preferred Shares and the Series AAA Preferred Shares in the Securities Purchase Agreement; the per-share prices reported reflect an allocation of the aggregate purchase price between the two series pro rata based on the number of shares of Common Stock underlying each series. F2 Each of the Series AA Preferred Shares and the Series AAA Convertible Non-Redeemable Preferred Stock (the Series AAA Preferred Shares) are perpetual and therefore have no expiration date.	Open filing 0001829126-26-010590 Read from the filing’s XML Dispute this row
2026-09-25 Filed 2026-09-29	NATAN DAVID Director	A Grant, award or other acquisition pursuant to Rule 16b-3(d) Common Stock	Acquired (A)	301,205	0	—	301,205	Direct (D)	No	F1 F1 Comprised of shares of restricted common stock, granted pursuant to the Issuer's 2018 Equity Incentive Plan that are subject to vesting.	Open filing 0001829126-26-010588 Read from the filing’s XML Dispute this row
2026-09-25 Filed 2026-09-29	KURTZ WILLIAM Director	A Grant, award or other acquisition pursuant to Rule 16b-3(d) Common Stock	Acquired (A)	150,602	0	—	306,524	Direct (D)	No	F1 F1 Comprised of shares of restricted common stock, granted pursuant to the Issuer's 2018 Equity Incentive Plan that are subject to vesting.	Open filing 0001437749-26-031513 Read from the filing’s XML Dispute this row
2026-09-24 Filed 2026-09-29	Lazar David E. Director · Officer: Chief Executive Officer · Other: Former 10% Owner	C Conversion of derivative security Common Stock	Acquired (A)	1,300,530	0	—	8,038,030	Direct (D)	No	F1 F1 On September 25, 2026, the Reporting Person converted 168,900 shares of the Series AA Convertible Non-Redeemable Preferred Stock (the Series AA Preferred Shares) for no additional consideration.	Open filing 0001829126-26-010590 Read from the filing’s XML Dispute this row
2026-09-24 Filed 2026-09-29	Lazar David E. Director · Officer: Chief Executive Officer · Other: Former 10% Owner	C Conversion of derivative security Derivative security: Series AA Convertible Non-Redeemable Preferred Stock — underlying Common Stock (1,300,530) — exercise price 0	Disposed (D)	168,900	0	—	706,100	Direct (D)	No	F1, F2 F1 On September 25, 2026, the Reporting Person converted 168,900 shares of the Series AA Convertible Non-Redeemable Preferred Stock (the Series AA Preferred Shares) for no additional consideration. F2 Each of the Series AA Preferred Shares and the Series AAA Convertible Non-Redeemable Preferred Stock (the Series AAA Preferred Shares) are perpetual and therefore have no expiration date.	Open filing 0001829126-26-010590 Read from the filing’s XML Dispute this row
2026-08-04 Filed 2026-09-11	Lazar David E. Director · Officer: Chief Executive Officer · 10% owner	C Conversion of derivative security Common Stock	Acquired (A)	875,000	2.00	1,750,000 Derived: shares × price per share. Exact value 1750000.00.	6,737,500	Direct (D)	No	—	Open filing 0001829126-26-010034 Read from the filing’s XML Dispute this row
2026-08-04 Filed 2026-09-11	Lazar David E. Director · Officer: Chief Executive Officer · 10% owner	C Conversion of derivative security Derivative security: Series AA Convertible Non-Redeemable Preferred Stock — underlying Common Stock (6,737,500) — exercise price 0.2597	Disposed (D)	875,000	0	—	6,737,500	Direct (D)	No	F2, F3 F2 Each of the Series AAA Preferred Shares and Series AA Convertible Non-Redeemable Preferred Stock (the Series AA Preferred Shares) are perpetual and therefore have no expiration date. F3 Following stockholder approval on July 17, 2026, the Series AA Preferred Shares are convertible into shares of Common Stock at the option of the Reporting Person for no additional consideration. On August 4, 2026, the Reporting Person converted 6,737,500 shares of his Series AA Preferred Shares.	Open filing 0001829126-26-010034 Read from the filing’s XML Dispute this row
2026-07-17 Filed 2026-09-11	Lazar David E. Director · Officer: Chief Executive Officer · 10% owner	A Grant, award or other acquisition pursuant to Rule 16b-3(d) Derivative security: Series AAA Convertible Non-Redeemable Preferred Stock — underlying Common Stock (236,425,000) — exercise price 0.0148	Acquired (A)	1,750,000	2.00	3,500,000 Derived: shares × price per share. Exact value 3500000.00.	1,750,000	Direct (D)	No	F1, F2 F1 On July 17, 2026, the Reporting Person acquired 1,750,000 shares of Series AAA Convertible Non-Redeemable Preferred Stock at $2.00 per share (the Series AAA Preferred Shares), for an aggregate purchase price of $3,500,000, pursuant to the Securities Purchase Agreement dated April 27, 2026. Following receipt of the requisite stockholder approvals, each Series AAA Preferred Share may be converted into 135.1 shares of Common Stock (up to 236,425,000 shares in the aggregate) at a conversion price of $0.0148, for no additional consideration. F2 Each of the Series AAA Preferred Shares and Series AA Convertible Non-Redeemable Preferred Stock (the Series AA Preferred Shares) are perpetual and therefore have no expiration date.	Open filing 0001829126-26-010034 Read from the filing’s XML Dispute this row
2026-05-21 Filed 2026-05-22	Rodriguez Arturo Director · Officer: Chief Executive Officer	A Grant, award or other acquisition pursuant to Rule 16b-3(d) Common Stock	Acquired (A)	70,000	0	—	1,081,148	Direct (D)	No	F1, F2 F1 Comprised of shares of restricted common stock granted pursuant to the Issuer's 2018 Equity Incentive Plan that are subject to vesting. F2 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.	Open filing 0001437749-26-018251 Read from the filing’s XML Dispute this row
2026-04-27 Filed 2026-05-01	Lazar David E. Director	A Grant, award or other acquisition pursuant to Rule 16b-3(d) Derivative security: Series AA Convertible Non-Redeemable Preferred Stock — underlying Common Stock (0)	Acquired (A)	1,750,000	—	—	1,750,000	Direct (D)	No	F2, F3, F4, F5 F2 On April 27, 2026, David E. Lazar (the Reporting Person) and Aterian, Inc. (the Company) entered into a Securities Purchase Agreement (the Purchase Agreement) pursuant to which the Reporting Person acquired 1,750,000 shares of Series AA Convertible Non-Redeemable Preferred Stock (the Series AA Preferred Shares), at a price of $2.00 per share, for a total purchase price of $3,500,000. Pursuant to the Purchase Agreement, the Reporting Person will also acquire, at a subsequent closing promptly following the receipt of Stockholder Approval (as defined below), 1,750,000 shares of Series AAA Convertible Non-Redeemable Preferred Stock (the Series AAA Preferred Shares and, together with the Series AA Preferred Shares, the Preferred Shares), at a price of $2.00 per share, for an additional purchase price of $3,500,000. F3 The Preferred Shares are not convertible into common stock until stockholders approve the issuance of common stock upon conversion in compliance with Nasdaq rules and an increase in authorized common stock, and the Company files a corresponding charter amendment (the Stockholder Approvals). The closing on the Series AAA Preferred Shares is also subject to stockholder approval of additional matters, including the election of Reporting Person designees to the Board and a reverse stock split. Following the Stockholder Approval, each Series AA Preferred Share will be convertible into 7.7 shares of common stock, and each Series AAA Preferred Share will be convertible into a minimum of 117.63 and maximum of 135.10 shares of common stock, based on the Company's fully-diluted capitalization as determined under the Purchase Agreement. F4 Following receipt by the Company of the Stockholder Approval, the Preferred Shares will be convertible into shares of common stock at the option of the Reporting Person for no additional consideration. F5 Each class of Preferred Stock is perpetual and therefore has no expiration date.	Open filing 0000921895-26-001136 Read from the filing’s XML Dispute this row
2026-01-23 Filed 2026-01-23	Rodriguez Arturo Director · Officer: Chief Executive Officer	A Grant, award or other acquisition pursuant to Rule 16b-3(d) Common Stock	Acquired (A)	50,000	0	—	1,011,148	Direct (D)	No	F1, F2 F1 Comprised of shares of restricted common stock granted pursuant to the Issuer's 2018 Equity Incentive Plan that are subject to vesting. F2 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.	Open filing 0001437749-26-001925 Read from the filing’s XML Dispute this row
2026-01-23 Filed 2026-01-23	Feldman Joshua O Officer: Chief Financial Officer	A Grant, award or other acquisition pursuant to Rule 16b-3(d) Common Stock	Acquired (A)	120,000	0	—	497,442	Direct (D)	No	F1, F2 F1 Comprised of shares of restricted common stock granted pursuant to the Issuer's 2018 Equity Incentive Plan that are subject to vesting. F2 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.	Open filing 0001437749-26-001928 Read from the filing’s XML Dispute this row
2026-01-23 Filed 2026-01-23	Harlam Bari A Director	A Grant, award or other acquisition pursuant to Rule 16b-3(d) Common Stock	Acquired (A)	24,731	0	—	161,991	Direct (D)	No	F1, F2 F1 Comprised of shares of restricted common stock granted pursuant to the Issuer's 2018 Equity Incentive Plan that are subject to vesting. F2 The reported award was granted in lieu of cash compensation for the reporting person's service as a member of the Board of Directors.	Open filing 0001437749-26-001919 Read from the filing’s XML Dispute this row
2026-01-23 Filed 2026-01-23	KURTZ WILLIAM Director	A Grant, award or other acquisition pursuant to Rule 16b-3(d) Common Stock	Acquired (A)	40,394	0	—	155,922	Direct (D)	No	F1, F2 F1 Comprised of shares of restricted common stock granted pursuant to the Issuer's 2018 Equity Incentive Plan that are subject to vesting. F2 The reported award was granted in lieu of cash compensation for the reporting person's service as a member of the Board of Directors.	Open filing 0001437749-26-001933 Read from the filing’s XML Dispute this row
2026-01-23 Filed 2026-01-23	Lattmann Susan E. Director	A Grant, award or other acquisition pursuant to Rule 16b-3(d) Common Stock	Acquired (A)	25,555	0	—	162,465	Direct (D)	No	F1, F2 F1 Comprised of shares of restricted common stock granted pursuant to the Issuer's 2018 Equity Incentive Plan that are subject to vesting. F2 The reported award was granted in lieu of cash compensation for the reporting person's service as a member of the Board of Directors.	Open filing 0001437749-26-001921 Read from the filing’s XML Dispute this row

Institutional holders (Form 13F)

Quarter ending 2026-09-30: 7,211 filings read, the latest filed 2026-11-13. Prior quarter ending 2026-06-30: 9,150 filings read.

Showing 1–21 of 21

Institutional holders, largest position first, as filed
Manager	Shares or principal	Value as filed	Change from the prior quarter	Source
HRT FINANCIAL LP	191,770 SH	112 dollars	Not in the prior quarter’s filings read	Open filing 0001475597-26-000249 Filed 2026-11-13 Dispute this row
JANE STREET GROUP, LLC Partly reported under another manager	108,677 SH	63,750 dollars	Higher by 59,329 Prior quarter: 49,348	Open filing 0001595888-26-000162 Filed 2026-11-12 Dispute this row
VANGUARD FIDUCIARY TRUST CO	93,498 SH	54,883 dollars	Higher by 67,504 Prior quarter: 25,994	Open filing 0000933478-26-000017 Filed 2026-11-13 Dispute this row
BlackRock, Inc. Partly reported under another manager	72,289 SH	42,405 dollars	Unchanged Prior quarter: 72,289	Open filing 0002012383-26-003985 Filed 2026-11-13 Dispute this row
GEODE CAPITAL MANAGEMENT, LLC Partly reported under another manager	61,128 SH	35,867 dollars	Unchanged Prior quarter: 61,128	Open filing 0001214717-26-000012 Filed 2026-11-06 Dispute this row
VANGUARD CAPITAL MANAGEMENT LLC	57,047 SH	33,487 dollars	Unchanged Prior quarter: 57,047	Open filing 0002100119-26-001711 Filed 2026-11-13 Dispute this row
RENAISSANCE TECHNOLOGIES LLC Partly reported under another manager	51,347 SH	30,120 dollars	Lower by 171,683 Prior quarter: 223,030	Open filing 0001037389-26-000062 Filed 2026-11-12 Dispute this row
STATE STREET CORP Partly reported under another manager	24,007 SH	14,083 dollars	Unchanged Prior quarter: 24,007	Open filing 0000093751-26-000747 Filed 2026-11-12 Dispute this row
UBS Group AG Partly reported under another manager	23,321 SH	13,689 dollars	Higher by 10,617 Prior quarter: 12,704	Open filing 0001610520-26-000121 Filed 2026-11-10 Dispute this row
CITIGROUP INC Partly reported under another manager	3,368 SH	1,976 dollars	Not in the prior quarter’s filings read	Open filing 0000831001-26-000052 Filed 2026-11-04 Dispute this row
JPMORGAN CHASE CO Partly reported under another manager	2,784 SH	1,754 dollars	Unchanged Prior quarter: 2,784	Open filing 0000019617-26-000404 Filed 2026-11-12 Dispute this row
SIMPLEX TRADING, LLC Option: Put	2,100 SH	1,231 dollars	Higher by 100 Prior quarter: 2,000	Open filing 0001488542-26-000013 Filed 2026-11-04 Dispute this row
SIMPLEX TRADING, LLC Option: Call	1,900 SH	1,114 dollars	Not in the prior quarter’s filings read	Open filing 0001488542-26-000013 Filed 2026-11-04 Dispute this row
Vanguard Global Advisers, LLC	1,574 SH	924 dollars	Unchanged Prior quarter: 1,574	Open filing 0001811242-26-000017 Filed 2026-11-13 Dispute this row
SIMPLEX TRADING, LLC	1,235 SH	724 dollars	Lower by 4,937 Prior quarter: 6,172	Open filing 0001488542-26-000013 Filed 2026-11-04 Dispute this row
OSAIC HOLDINGS, INC. Partly reported under another manager	373 SH	218 dollars	Lower by 208 Prior quarter: 581	Open filing 0001677044-26-000011 Filed 2026-11-12 Dispute this row
SBI Securities Co., Ltd.	316 SH	185 dollars	Higher by 5 Prior quarter: 311	Open filing 0001851815-26-000004 Filed 2026-10-22 Dispute this row
BNP PARIBAS FINANCIAL MARKETS Partly reported under another manager	73 SH	43 dollars	Unchanged Prior quarter: 73	Open filing 0001166588-26-000012 Filed 2026-11-12 Dispute this row
PROATHLETE WEALTH MANAGEMENT LLC	21 SH	12 dollars	Unchanged Prior quarter: 21	Open filing 0002012065-26-000005 Filed 2026-10-15 Dispute this row
BARCLAYS PLC Partly reported under another manager	4 SH	2 dollars	Not in the prior quarter’s filings read	Open filing 0000312069-26-000241 Filed 2026-11-06 Dispute this row
Caitong International Asset Management Co., Ltd	1 SH	1 dollars	Not in the prior quarter’s filings read	Open filing 0001628280-26-068135 Filed 2026-10-29 Dispute this row

Managers in the prior quarter with no filing read for the latest

They may simply not have filed yet: absent from the latest quarter’s filings read is not the same as a position sold.

SUSQUEHANNA INTERNATIONAL GROUP, LLP 56,400 SH
BRIDGEWAY CAPITAL MANAGEMENT, LLC 52,500 SH
SUSQUEHANNA INTERNATIONAL GROUP, LLP 47,818 SH
XTX Topco Ltd 31,280 SH
GROUP ONE TRADING LLC 14,000 SH
NORTHERN TRUST CORP 13,165 SH
IMC-Chicago, LLC 10,600 SH
Tower Research Capital LLC (TRC) 3,795 SH
STANCE CAPITAL LLC 36 SH
MERCER GLOBAL ADVISORS INC /ADV 10 SH
TD Waterhouse Canada Inc. 1 SH
NATIONAL BANK OF CANADA /FI/ 1 SH
MORGAN STANLEY 1 SH

Form 13F covers long positions in Section 13(f) securities only: no short positions and no securities outside that list.
A manager that has not yet filed for the latest quarter is absent, not at zero; filings are due up to 45 days after quarter end.
A change is the difference between two quarter-end snapshots, not a trade.
A position reported under another manager may also appear in that manager’s filing; rows are not added together.
Holdings the securities list cannot place with this company, or places ambiguously, are not shown.

5% holders (Schedule 13D and 13G)

Schedules filed in the SEC’s structured format (late 2024 onward) are read here. Earlier schedules are free text and are not read.

5% holders, newest event first, as filed
Holder	Percent of class	Shares held	Event date	Form	Source
Chang Woei Jiann Common Stock, $0.0001 par value	10.0	26,121,180.00	09/25/2026 Filed 2026-10-02	SCHEDULE 13D	Open filing 0001437749-26-031910 Dispute this row
Michelle Chiam Sin Ling Common Stock, $0.0001 par value	10.0	26,121,180.00	09/25/2026 Filed 2026-10-02	SCHEDULE 13D	Open filing 0001437749-26-031908 Dispute this row
Lazar David E. Common Stock, $0.0001 par value	3.1	8,038,030.00	09/25/2026 Filed 2026-09-29	SCHEDULE 13D/AAmendment 1	Open filing 0001829126-26-010591 Dispute this row
Lazar David E. Common Stock, $0.0001 par value	95.7	249,900,000.00	07/17/2026 Filed 2026-09-10	SCHEDULE 13D	Open filing 0001829126-26-010004 Dispute this row

Percent is of the class the filing names, as the holder stated it. Members of a group each report the group’s shares, so rows are not added together.

What was read

2,024,280 filings read, dated 2004-06-14 to 2026-11-13: Forms 3, 3/A, 4, 4/A, 5, 5/A.

Years can be incomplete while the archive is still being read. A year with few filings here is not a statement that few were made.

Filings read, by filing year
Filing year	Filings read
2015	1
2016	204,322
2017	202,494
2018	202,048
2019	193,638
2020	144,184
2021	224,474
2022	40,015
2023	199,811
2024	117,969
2025	235,520
2026	254,026

Filings made before the SEC required XML are listed, not extracted.

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