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| CIK | 1757715 |
SEC Filings
All companies that sell securities in the United States must register with the Securities and Exchange Commission (SEC) and file reports on a regular basis.
These reports include company annual reports (10K, 10Q), news updates (8K), investor presentations (found in 8Ks), insider trades (form 4), ownership reports (13D, and 13G), and reports related to the specific securities sold, such as registration statements and prospectus. This page shows recent SEC filings related to Aterian, Inc.
SEC Filings (Chronological Order)
यह पृष्ठ SEC फाइलिंग की एक पूरी, कालानुक्रमिक सूची प्रदान करता है, ओनरशिप फाइलिंग को छोड़कर, जो हम अन्यत्र प्रदान करते हैं।
| August 29, 2025 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT PURSUANT TO SECTION 13 or 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 Date of Report (Date of earliest event reported): August 29, 2025 Aterian, Inc. (Exact Name of Registrant as Specified in its Charter) Delaware 001-38937 83-1739858 (State or Other Jurisdiction of Incorporation) (Commission File Numb |
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| August 29, 2025 |
AMENDMENT NO. 4 TO CREDIT AND SECURITY AGREEMENT Exhibit 10.1 AMENDMENT NO. 4 TO CREDIT AND SECURITY AGREEMENT This AMENDMENT NO. 4 TO CREDIT AND SECURITY AGREEMENT (this “Agreement”) is made as of August 29, 2025, by and among ATERIAN, INC., a Delaware corporation (“Aterian Holdco”), ATERIAN GROUP, INC., a Delaware corporation (“Aterian”), each of Aterian Holdco’s direct and indirect subsidiaries set forth on the signature pages hereto as Borro |
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| August 14, 2025 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 Date of Report (Date of earliest event reported): August 13, 2025 ATERIAN, INC. (Exact Name of Registrant as Specified in its Charter) Delaware 001-38937 81-1739858 (State or Other Jurisdiction of Incorporation) (Commission File Numb |
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| August 13, 2025 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 FORM 10-Q Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 FORM 10-Q (Mark One) ☒ QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended June 30, 2025 OR ☐ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 Commission File Number: 001-38937 Aterian, Inc. |
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| August 13, 2025 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT PURSUANT TO SECTION 13 or 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 Date of Report (Date of earliest event reported): August 13, 2025 Aterian, Inc. (Exact Name of Registrant as Specified in its Charter) Delaware 001-38937 83-1739858 (State or Other Jurisdiction of Incorporation) (Commission File Numb |
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| August 13, 2025 |
Exhibit 99.1 Aterian Reports 2025 Second Quarter Financial Results and Provides Guidance for the Second Half of 2025 Tariff Mitigation Strategies, Cost Optimization Plan, New Product Introductions, and Sales Channel Expansion Position the Company for Improved Performance SUMMIT, NEW JERSEY, August 13, 2025 – Aterian, Inc. (Nasdaq: ATER) (“Aterian” or the “Company”), a consumer products company, to |
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| June 25, 2025 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 SCHEDULE 14A INFORMATION Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No. ) Filed by the Registrant ☒ Filed by a Party other than the Registrant ☐ Check the appropriate box: ☐ Preliminary Proxy Statement ☐ Confidential, for Use of the Commission Only (as permitted by Rule 14a-6 |
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| June 25, 2025 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT PURSUANT TO SECTION 13 or 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 Date of Report (Date of earliest event reported): June 24, 2025 Aterian, Inc. (Exact Name of Registrant as Specified in its Charter) Delaware 001-38937 83-1739858 (State or Other Jurisdiction of Incorporation) (Commission File Number |
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| June 25, 2025 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 SCHEDULE 14A INFORMATION Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No.) Filed by the Registrant ☒ Filed by a Party other than the Registrant ☐ Check the appropriate box: ☐ Preliminary Proxy Statement ☐ Confidential, for Use of the Commission Only (as permitted by Rule 14a-6( |
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| May 15, 2025 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 FORM 10-Q Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 FORM 10-Q (Mark One) ☒ QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended March 31, 2025 OR ☐ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 Commission File Number: 001-38937 Aterian, Inc. |
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| May 14, 2025 |
Exhibit 99.1 Aterian Reports 2025 First Quarter Financial Results Updates Progress of Tariff Mitigation Strategy and Announces Cost Optimization Plan Designed to Reduce Annual Spending by $5 - $6 Million SUMMIT, NEW JERSEY, May 14, 2025 – Aterian, Inc. (Nasdaq: ATER) (“Aterian” or the “Company”), a consumer products company, today announced financial results for the first quarter ended March 31, 2 |
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| May 14, 2025 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT PURSUANT TO SECTION 13 or 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 Date of Report (Date of earliest event reported): May 14, 2025 Aterian, Inc. (Exact Name of Registrant as Specified in its Charter) Delaware 001-38937 83-1739858 (State or Other Jurisdiction of Incorporation) (Commission File Number) |
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| March 25, 2025 |
As filed with the Securities and Exchange Commission on March 25, 2025 Registration No. |
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| March 25, 2025 |
Calculation of Filing Fee Table. Exhibit 107 Calculation of Filing Fee Tables S-8 (Form Type) Aterian, Inc. (Exact Name of Registrant as Specified in its Charter) Table 1: Newly Registered Securities Security Type Security Class Title Fee Calculation Rule Amount Registered(1) Proposed Maximum Offering Price Per Unit Maximum Aggregate Offering Price Fee Rate Amount of Registration Fee Equity Common Stock, par value $0.0001 per sha |
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| March 25, 2025 |
Policy Relating to Recovery of Erroneously Awarded Compensation. Exhibit 97.1 Aterian, Inc. COMPENSATION RECOVERY POLICY Adopted as of November 3, 2023 Aterian, Inc., a Delaware corporation (the “Company”), has adopted a Compensation Recovery Policy (this “Policy”) as described below. 1. Overview The Policy sets forth the circumstances and procedures under which the Company shall recover Erroneously Awarded Compensation from current and former Executive Officer |
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| March 25, 2025 |
List of Subsidiaries of the Registrant. Exhibit 21.1 List of Subsidiaries of Aterian, Inc. Name of Subsidiary Jurisdiction Aterian Group, Inc. Delaware Xtava LLC Delaware Sunlabz LLC Delaware RIF6 LLC Delaware Vremi LLC Delaware hOmelabs LLC Delaware Vidazen LLC Delaware Urban Source LLC Delaware ZephyrBeauty LLC Delaware Discocart LLC Delaware Vueti LLC Delaware Punched LLC Delaware SweetHomeDealz LLC Delaware KitchenVox LLC Delaware E |
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| March 25, 2025 |
Exhibit 10.31 AMENDMENT NO. 3 TO CREDIT AND SECURITY AGREEMENT This AMENDMENT NO. 3 TO CREDIT AND SECURITY AGREEMENT (this “Agreement”) is made as of March 25, 2025, by and among ATERIAN, INC., a Delaware corporation (“Aterian Holdco”), ATERIAN GROUP, INC., a Delaware corporation (“Aterian”), each of Aterian Holdco’s direct and indirect subsidiaries set forth on the signature pages hereto as Borro |
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| March 25, 2025 |
Exhibit 19.1 Last amended November 2024 ATERIAN, INC. INSIDER TRADING POLICY AND GUIDELINES WITH RESPECT TO CERTAIN TRANSACTIONS IN COMPANY SECURITIES This Insider Trading Policy (this “Policy”) provides guidelines to employees, officers and directors of Aterian, INC. and each of its subsidiaries, branches, representative offices and similar entities (collectively, the “Company”) with respect to t |
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| March 25, 2025 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-K FORM 10-K Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D. |
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| March 25, 2025 |
Exhibit 10.30 Aterian, Inc. Executive Severance Plan ARTICLE I PURPOSE This Executive Severance Plan has been established by the Company on March 21, 2025 (the “Effective Date”) to provide Participants with the opportunity to receive severance benefits in the event of certain terminations of employment. The purpose of the Plan is to attract and retain qualified executives. The Plan is intended to |
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| March 18, 2025 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT PURSUANT TO SECTION 13 or 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 Date of Report (Date of earliest event reported): March 18, 2025 Aterian, Inc. (Exact Name of Registrant as Specified in its Charter) Delaware 001-38937 83-1739858 (State or Other Jurisdiction of Incorporation) (Commission File Numbe |
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| March 18, 2025 |
Exhibit 99.1 Aterian Reports Fourth Quarter & Full Year 2024 Results Introduces Annual Guidance for 2025 Announces $3 Million Share Repurchase Program SUMMIT, NEW JERSEY, March 18, 2025 – Aterian, Inc. (Nasdaq: ATER) (“Aterian” or the “Company”), a technology-enabled consumer products company, today announced financial results for the fourth quarter and full year ended December 31, 2024. “Aterian’ |
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| March 18, 2025 |
Aterian Announces Share Repurchase Program Exhibit 99.2 Aterian Announces Share Repurchase Program SUMMIT, N.J. – March 18, 2025 - Aterian, Inc. (Nasdaq: ATER) (“Aterian” or the “Company”), a technology-enabled consumer products company, announced today that its Board of Directors has authorized a share repurchase program of up to $3.0 million of the Company’s common stock for a period of two years ending March 18, 2027. “The Board’s decis |
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| February 20, 2025 |
Aterian Issues Letter to Shareholders Exhibit 99.1 Aterian Issues Letter to Shareholders SUMMIT, N.J. – February 20, 2025 - Aterian, Inc. (Nasdaq: ATER) (“Aterian” or the “Company”), a technology-enabled consumer products company, today issued the following letter to shareholders from Arturo Rodriguez, Chief Executive Officer, and the Company’s Board of Directors. Dear Fellow Shareholders: While this is our first time writing to you d |
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| February 20, 2025 |
Financial Statements and Exhibits, Results of Operations and Financial Condition UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT PURSUANT TO SECTION 13 or 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 Date of Report (Date of earliest event reported): February 20, 2025 Aterian, Inc. (Exact Name of Registrant as Specified in its Charter) Delaware 001-38937 83-1739858 (State or Other Jurisdiction of Incorporation) (Commission File Nu |
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| November 12, 2024 |
Financial Statements and Exhibits, Results of Operations and Financial Condition UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT PURSUANT TO SECTION 13 or 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 Date of Report (Date of earliest event reported): November 11, 2024 Aterian, Inc. (Exact Name of Registrant as Specified in its Charter) Delaware 001-38937 83-1739858 (State or Other Jurisdiction of Incorporation) (Commission File Nu |
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| November 12, 2024 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 FORM 10-Q Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 FORM 10-Q (Mark One) ☒ QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended September 30, 2024 OR ☐ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 Commission File Number: 001-38937 Aterian, Inc. |
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| November 12, 2024 |
Aterian Reports Third Quarter 2024 Results Third Quarter Net Loss Improved by 71.7% Year Over Year Achieved Adjusted EBITDA Profit for the Second Consecutive Quarter, Marking a $4.9 Million Improvement Year-Over-Year. SUMMIT, NEW JERSEY, November 11, 2024 – Aterian, Inc. (Nasdaq: ATER) (“Aterian” or the “Company”) today announced results for the third quarter ended September 30, 2024. Third Quarte |
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| August 16, 2024 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 Date of Report (Date of earliest event reported): August 16, 2024 ATERIAN, INC. (Exact Name of Registrant as Specified in its Charter) Delaware 001-38937 81-1739858 (State or Other Jurisdiction of Incorporation) (Commission File Numb |
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| August 16, 2024 |
Advisor Agreement, dated August 16, 2024, by and between Aterian, Inc. and William Kurtz. Exhibit 10.1 ATERIAN, INC. ADVISOR AGREEMENT This Advisor Agreement (“Agreement”) is entered into as of August 16, 2024, effective August 1, 2024 (the “Effective Date”), by and between Aterian, Inc., a Delaware corporation (“Company”), with a principal place of business at 350 Springfield Avenue, Suite 200, Summit, New Jersey 07901, and William H. Kurtz, an individual residing at 32 Surf Road, Wes |
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| August 9, 2024 |
Consulting Agreement dated June 26, 2024, by and between Aterian Group, Inc. and Joseph Risico Exhibit 10.4 June 26, 2024 Joseph Risico Delivered by e-mail Dear Joe: This letter agreement (this “Agreement”) confirms the understanding that you and Aterian, Inc. (the “Company”) have reached concerning you transitioning from a full-time employee and officer of the Company to a part-time consultant with such consultancy to end no later than three (3) months after the Employment Termination Date |
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| August 9, 2024 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 FORM 10-Q Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 FORM 10-Q (Mark One) ☒ QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended June 30, 2024 OR ☐ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 Commission File Number: 001-38937 Aterian, Inc. |
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| August 9, 2024 |
Amendment to Arturo Rodriguez Employment Agreement Exhibit 10.3 June 26, 2024 Arturo Rodriguez (via email only to [email protected]) Re: Amendments to your Employment Agreement Dear Arty, This will amend your employment arrangements with Aterian, Inc. (the “Company”) as set forth in that letter agreement dated September 18, 2017 between you and the Company (as amended from time to time, collectively, the “Employment Agreement”). We agree that, beg |
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| August 9, 2024 |
Amendment to Joshua Feldman Employment Agreement Exhibit 10.2 June 26, 2024 Joshua Feldman (via email only to [email protected]) Re: Amendments to your Employment Agreement Dear Josh, This will amend your employment arrangements with Aterian, Inc. (the “Company”) as set forth in that letter agreement dated March 30, 2022 between you and the Company (, as amended from time to time, collectively, the “Employment Agreement”). We agree that, |
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| August 9, 2024 |
Employment Agreement dated March 30, 2022, by and between Aterian Group, Inc. and Joshua Feldman Exhibit 10.1 Aterian, Inc. 37 E. 18th St, 7th Fl New York, NY 10003 March 30, 2022 Dear Joshua, Aterian, Inc (the “Company”), is super excited to offer you employment with the Company. We’re always looking for 10x’ers and think you have what it takes to be an Aterianite. Position, Salary and Bonus Target. I am pleased to offer you the position listed below. You will receive an annual salary listed |
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| August 8, 2024 |
Financial Statements and Exhibits, Results of Operations and Financial Condition UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT PURSUANT TO SECTION 13 or 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 Date of Report (Date of earliest event reported): August 8, 2024 Aterian, Inc. (Exact Name of Registrant as Specified in its Charter) Delaware 001-38937 83-1739858 (State or Other Jurisdiction of Incorporation) (Commission File Numbe |
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| August 8, 2024 |
Exhibit 99.1 Aterian Reports Second Quarter 2024 Results Second Quarter Net Loss Improved by 89.6% Year Over Year Company Achieved Adjusted EBITDA Profitability SUMMIT, NEW JERSEY, August 8, 2024 – Aterian, Inc. (Nasdaq: ATER) (“Aterian” or the “Company”) today announced results for the second quarter ended June 30, 2024. Second Quarter Highlights ● Second quarter 2024 net revenue declined 20.6% t |
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| July 5, 2024 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 SCHEDULE 14A INFORMATION Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No.) Filed by the Registrant ☒ Filed by a Party other than the Registrant ☐ Check the appropriate box: ☐ Preliminary Proxy Statement ☐ Confidential, for Use of the Commission Only (as permitted by Rule 14a-6( |
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| July 5, 2024 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 SCHEDULE 14A INFORMATION Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No. ) Filed by the Registrant ☒ Filed by a Party other than the Registrant ☐ Check the appropriate box: ☐ Preliminary Proxy Statement ☐ Confidential, for Use of the Commission Only (as permitted by Rule 14a-6 |
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| July 3, 2024 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 Date of Report (Date of earliest event reported): July 1, 2024 ATERIAN, INC. (Exact Name of Registrant as Specified in its Charter) Delaware 001-38937 81-1739858 (State or Other Jurisdiction of Incorporation) (Commission File Number) |
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| June 27, 2024 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 Date of Report (Date of earliest event reported): June 26, 2024 ATERIAN, INC. (Exact Name of Registrant as Specified in its Charter) Delaware 001-38937 81-1739858 (State or Other Jurisdiction of Incorporation) (Commission File Number |
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| June 27, 2024 |
Exhibit 99.1 Aterian Announces Leadership Changes & Improved Second Quarter 2024 Net Revenue and Adjusted EBITDA Ranges Arturo Rodriguez Appointed CEO Josh Feldman Appointed CFO Second Quarter 2024 Net Revenue Range Improved to Between $23 Million to $26 Million Second Quarter 2024 Adjusted EBITDA Range Improved to Between a Loss of ($1.0) Million to $0.0 Million NEW YORK, June 26, 2024 – Aterian, |
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| June 27, 2024 |
Letter from Deloitte to the Securities and Exchange Commission dated June 27, 2024. Exhibit 16.1 June 27, 2024 Securities and Exchange Commission 100 F Street, N.E. Washington, D.C. 20549-7561 Dear Sirs/Madams: We have read Item 4.01 of Aterian, Inc.’s Form 8-K dated June 27, 2024, and have the following comments: 1. We agree with the statements made in Item 4.01 (a). 2. We have no basis on which to agree or disagree with the statements made in Item 4.01 (b). Yours truly, /s/ Del |
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| May 15, 2024 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 FORM 10-Q Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 FORM 10-Q (Mark One) ☒ QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended March 31, 2024 OR ☐ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 Commission File Number: 001-38937 Aterian, Inc. |
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| May 7, 2024 |
Exhibit 99.1 Aterian Reports First Quarter 2024 Results First Quarter Net Loss Improved by 80.0% Year Over Year and Adjusted EBITDA Loss Improved by 38.4% Affirms Second Half 2024 Adjusted EBITDA Profitability Target NEW YORK, May 7, 2024 – Aterian, Inc. (Nasdaq: ATER) (“Aterian” or the “Company”) today announced results for the first quarter ended March 31, 2024. First Quarter Highlights ● First |
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| May 7, 2024 |
Financial Statements and Exhibits, Results of Operations and Financial Condition UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT PURSUANT TO SECTION 13 or 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 Date of Report (Date of earliest event reported): May 7, 2024 Aterian, Inc. (Exact Name of Registrant as Specified in its Charter) Delaware 001-38937 83-1739858 (State or Other Jurisdiction of Incorporation) (Commission File Number) |
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| April 22, 2024 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT PURSUANT TO SECTION 13 or 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 Date of Report (Date of earliest event reported): April 19, 2024 Aterian, Inc. (Exact Name of Registrant as Specified in its Charter) Delaware 001-38937 83-1739858 (State or Other Jurisdiction of Incorporation) (Commission File Numbe |
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| April 22, 2024 |
Exhibit 99.1 Aterian Announces Improved First Quarter 2024 Net Revenue and Adjusted EBITDA Ranges First Quarter Net Revenue Range Improved to $20.0 Million to $21.0 Million First Quarter Adjusted EBITDA Loss Range Improved to ($2.4) Million to ($2.9) Million NEW YORK, April 22, 2024– Aterian, Inc. (Nasdaq: ATER) (“Aterian” or the “Company”) today announced updates to its previously announced net r |
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| April 22, 2024 |
Exhibit 99.2 Q&A Responses Hello everyone, excited to start this off! Thank you all for your participation. First thing we want to flag is that all statements other than statements of historical facts included in this Q&A that address activities, events or developments that we expect, believe or anticipate will or may occur in the future are forward-looking statements including, in particular, reg |
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| April 8, 2024 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT PURSUANT TO SECTION 13 or 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 Date of Report (Date of earliest event reported): April 8, 2024 Aterian, Inc. (Exact Name of Registrant as Specified in its Charter) Delaware 001-38937 83-1739858 (State or Other Jurisdiction of Incorporation) (Commission File Number |
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| March 21, 2024 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM S-8 REGISTRATION STATEMENT UNDER THE SECURITIES ACT OF 1933 Aterian, Inc. (Exact name of registrant as specified in its charter) Delaware 83-1739858 (State or other jurisdiction of incorporation or organization) (I.R.S. Employer Identification No.) 3340 Springfield Avenue Suite 200 Summit, NJ07901 (Address of Principal Ex |
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| March 21, 2024 |
Exhibit 3.1 CERTIFICATE OF AMENDMENT TO THE AMENDED AND RESTATED CERTIFICATE OF INCORPORATION OF ATERIAN, INC. a Delaware corporation Pursuant to Section 242 of the General Corporation Law of the State of Delaware (the “DGCL”), Aterian, Inc., a corporation organized and existing under the DGCL (the “Corporation”), hereby certifies as follows: A. On March 8, 2024, the Board of Directors of the Corp |
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| March 21, 2024 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of report (Date of earliest event reported): March 20, 2024 Aterian, Inc. (Exact name of registrant as specified in its charter) Delaware 001-38937 83-1739858 (State or Other Jurisdiction of Incorporation) (Commission File Numbe |
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| March 21, 2024 |
Calculation of Filing Fee Table. Exhibit 107 Calculation of Filing Fee Tables ………….. (Form Type) Aterian, Inc. (Exact Name of Registrant as Specified in its Charter) Security Type Security Class Title Fee Calculation Rule Amount Registered(1) Proposed Maximum Offering Price Per Unit Maximum Aggregate Offering Price Fee Rate Amount of Registration Fee Equity Common Stock, par value $0.0001 per share 457(h) 17,000,000(2) $0.340(3) |
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| March 19, 2024 |
Policy Relating to Recovery of Erroneously Awarded Compensation. Exhibit 97.1 Aterian, Inc. COMPENSATION RECOVERY POLICY Adopted as of November 3, 2023 Aterian, Inc., a Delaware corporation (the “Company”), has adopted a Compensation Recovery Policy (this “Policy”) as described below. 1. Overview The Policy sets forth the circumstances and procedures under which the Company shall recover Erroneously Awarded Compensation from current and former Executive Officer |
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| March 19, 2024 |
Exhibit 19.1 ATERIAN, INC. INSIDER TRADING POLICY and Guidelines with Respect to Certain Transactions in Company Securities This Insider Trading Policy (this “Policy”) provides guidelines to employees, officers and directors of Aterian, INC. and each of its subsidiaries, branches, representative offices and similar entities (collectively, the “Company”) with respect to transactions in the Company’ |
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| March 19, 2024 |
List of Subsidiaries of the Registrant. Exhibit 21.1 List of Subsidiaries of Aterian, Inc. Name of Subsidiary Jurisdiction Aterian Group, Inc. Delaware Xtava LLC Delaware Sunlabz LLC Delaware RIF6 LLC Delaware Vremi LLC Delaware hOmelabs LLC Delaware Vidazen LLC Delaware Urban Source LLC Delaware ZephyrBeauty LLC Delaware Discocart LLC Delaware Vueti LLC Delaware Punched LLC Delaware SweetHomeDealz LLC Delaware KitchenVox LLC Delaware E |
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| March 19, 2024 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-K FORM 10-K Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D. |
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| March 12, 2024 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT PURSUANT TO SECTION 13 or 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 Date of Report (Date of earliest event reported): March 12, 2024 Aterian, Inc. (Exact Name of Registrant as Specified in its Charter) Delaware 001-38937 83-1739858 (State or Other Jurisdiction of Incorporation) (Commission File Numbe |
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| March 12, 2024 |
Exhibit 99.1 Aterian Reports Fourth Quarter & Full Year 2023 Results Reaffirms Second Half 2024 Adjusted EBITDA Profitability Target NEW YORK, March 12, 2024 – Aterian, Inc. (Nasdaq: ATER) (“Aterian” or the “Company”) today announced results for the fourth quarter and full year ended December 31, 2023. Fourth Quarter 2023 Highlights ● Fourth quarter 2023 net revenue declined 40.3% to $32.8 million |
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| February 26, 2024 |
Entry into a Material Definitive Agreement, Financial Statements and Exhibits, Other Events UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT PURSUANT TO SECTION 13 or 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 Date of Report (Date of earliest event reported): February 23, 2024 Aterian, Inc. (Exact Name of Registrant as Specified in its Charter) Delaware 001-38937 83-1739858 (State or Other Jurisdiction of Incorporation) (Commission File Nu |
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| February 26, 2024 |
Exhibit 99.1 Aterian Further Strengthens Its Balance Sheet With Extension Of Its Credit Facility Credit Facility’s Financial Liquidity Covenant More Favorable Maturity Extended to December 2026 NEW YORK, February 26, 2024 – Aterian, Inc. (Nasdaq: ATER) (“Aterian” or the “Company”) today announced that it has extended its asset backed credit facility (“Credit Facility”) with MidCap Financial (“MidC |
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| February 26, 2024 |
Exhibit 10.1 AMENDMENT NO. 2 TO CREDIT AND SECURITY AGREEMENT This AMENDMENT NO. 2 TO CREDIT AND SECURITY AGREEMENT (this “Agreement”) is made as of this 23rd day of February, 2024, by and among ATERIAN, INC., a Delaware corporation (“Aterian Holdco”), ATERIAN GROUP, INC., a Delaware corporation (“Aterian”), each of Aterian Holdco’s direct and indirect subsidiaries set forth on the signature pages |
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| February 14, 2024 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT PURSUANT TO SECTION 13 or 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 Date of Report (Date of earliest event reported): February 8, 2024 Aterian, Inc. (Exact Name of Registrant as Specified in its Charter) Delaware 001-38937 83-1739858 (State or Other Jurisdiction of Incorporation) (Commission File Num |
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| February 14, 2024 |
Exhibit 99.1 Aterian Announces Fixed Cost Reduction Plan and Preliminary Fourth Quarter 2023 Results Expected to Save $4.0 Million Annualized On Target for Second Half 2024 Adjusted EBITDA Profitability Fourth Quarter 2023 Net Revenue Range Improved to $31.2 Million to $32.0 Million Expected Adjusted EBITDA Loss Range Improved to $(6.3) Million to $(5.5) Million NEW YORK, February 14, 2024 – Ateri |
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| November 9, 2023 |
ATER / Aterian Inc / 9830 Macarthur LLC Passive Investment SC 13G/A 1 formsc13ga.htm UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G/A Under the Securities Exchange Act of 1934 (Amendment No. 3) ATERIAN, INC. (Name of Issuer) Common Stock, par value $0.0001 per share (Title of Class of Securities) 608189106 (CUSIP Number) December 31, 2021 (Date of Event which Requires Filing of this Statement) Check the appropriate bo |
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| November 8, 2023 |
Amendment to Arturo Rodriguez Employment Agreement EXHIBIT 10.2 September 13, 2023 Arturo Rodriguez (via email only to [email protected]) Re: Amendments to your Employment Agreement Dear Arty, This will amend your employment arrangements with Aterian, Inc. (the “Company”) as set forth in that letter agreement dated September 18, 2017 between you and the Company, as amended from time to time (collectively, the “Employment Agreement”). We agree that |
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| November 8, 2023 |
Amendment to Joseph A. Risico Employment Agreement EXHIBIT 10.1 September 13, 2023 Joseph Risico (via email only to [email protected]) Re: Amendments to your Employment Agreement Dear Joe, This will amend your employment arrangements with Aterian, Inc. (the “Company”) as set forth in that letter agreement dated May 14, 2018 between you and the Company, as amended from time to time (collectively, the “Employment Agreement”). We agree that, beginning S |
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| November 8, 2023 |
Exhibit 99.1 Aterian Reports Third Quarter 2023 Results Reports Third Quarter 2023 Net Revenue of $39.7 Million Third Quarter Net Loss Improves by 94.6% Year Over Year While Adjusted EBITDA Loss Improves by 51.3 % NEW YORK, November 8, 2023 – Aterian, Inc. (Nasdaq: ATER) (“Aterian” or the “Company”) today announced results for the third quarter ended September 30, 2023. Third Quarter Highlights ● |
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| November 8, 2023 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 FORM 10-Q Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 FORM 10-Q (Mark One) ☒ QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended September 30, 2023 OR ☐ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 Commission File Number: 001-38937 Aterian, Inc. |
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| November 8, 2023 |
Financial Statements and Exhibits, Results of Operations and Financial Condition UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT PURSUANT TO SECTION 13 or 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 Date of Report (Date of earliest event reported): November 8, 2023 Aterian, Inc. (Exact Name of Registrant as Specified in its Charter) Delaware 001-38937 83-1739858 (State or Other Jurisdiction of Incorporation) (Commission File Num |
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| October 24, 2023 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT PURSUANT TO SECTION 13 or 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 Date of Report (Date of earliest event reported): October 24, 2023 Aterian, Inc. (Exact Name of Registrant as Specified in its Charter) Delaware 001-38937 83-1739858 (State or Other Jurisdiction of Incorporation) (Commission File Num |
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| October 24, 2023 |
Aterian Receives Extension To Regain Compliance With Nasdaq Minimum Bid Price Rule Exhibit 99.1 Aterian Receives Extension To Regain Compliance With Nasdaq Minimum Bid Price Rule NEW YORK, October 24, 2023 – Aterian, Inc. (Nasdaq: ATER) (“Aterian” or the “Company”) today announced that it received written notice (the “Notice”) from The Nasdaq Stock Market LLC (“Nasdaq”) granting the Company a 180-day extension, or until April 22, 2024, to regain compliance with Nasdaq’s $1.00 mi |
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| September 18, 2023 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT PURSUANT TO SECTION 13 or 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 Date of Report (Date of earliest event reported): September 13, 2023 Aterian, Inc. (Exact Name of Registrant as Specified in its Charter) Delaware 001-38937 83-1739858 (State or Other Jurisdiction of Incorporation) (Commission File N |
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| August 14, 2023 |
Submission of Matters to a Vote of Security Holders UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT PURSUANT TO SECTION 13 or 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 Date of Report (Date of earliest event reported): August 11, 2023 Aterian, Inc. (Exact Name of Registrant as Specified in its Charter) Delaware 001-38937 83-1739858 (State or Other Jurisdiction of Incorporation) (Commission File Numb |
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| August 9, 2023 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 FORM 10-Q UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 FORM 10-Q (Mark One) ☒ QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended June 30, 2023 OR ☐ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 Commission File Number: 001-38937 Aterian, Inc. |
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| August 8, 2023 |
Financial Statements and Exhibits, Results of Operations and Financial Condition UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT PURSUANT TO SECTION 13 or 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 Date of Report (Date of earliest event reported): August 8, 2023 Aterian, Inc. (Exact Name of Registrant as Specified in its Charter) Delaware 001-38937 83-1739858 (State or Other Jurisdiction of Incorporation) (Commission File Numbe |
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| August 8, 2023 |
Aterian Reports Second Quarter 2023 Results Reports Second Quarter 2023 Net Revenue of $35.3 Million Exhibit 99.1 Aterian Reports Second Quarter 2023 Results Reports Second Quarter 2023 Net Revenue of $35.3 Million NEW YORK, August 8, 2023 – Aterian, Inc. (Nasdaq: ATER) (“Aterian” or the “Company”) today announced results for the second quarter ended June 30, 2023. Second Quarter Highlights ● Second quarter 2023 net revenue declined 39.5% to $35.3 million, compared to $58.3 million in the second |
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| July 27, 2023 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT PURSUANT TO SECTION 13 or 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 Date of Report (Date of earliest event reported): July 26, 2023 Aterian, Inc. (Exact Name of Registrant as Specified in its Charter) Delaware 001-38937 83-1739858 (State or Other Jurisdiction of Incorporation) (Commission File Number |
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| July 27, 2023 |
Advisor Agreement, dated July 26, 2023, by and between Aterian, Inc. and William Kurtz. Exhibit 10.2 Aterian, Inc. ADVISOR AGREEMENT This Advisor Agreement (“Agreement”) is entered into as of July 26, 2023 (the “Effective Date”), by and between Aterian, Inc., a Delaware corporation (“Company”), with a principal place of business at 350 Springfield Avenue, Suite 200, Summit, New Jersey 07901, and William H. Kurtz, an individual residing at (“Advisor”). 1. Services. 1.1 Nature of Servi |
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| July 27, 2023 |
Exhibit 99.1 Aterian Announces Management Change & Second Quarter 2023 Preliminary Results Joe Risico and Arturo Rodriguez Appointed Co–CEOs William Kurtz Appointed Chair of the Board Second Quarter Revenue Range Between $34.8 Million to $35.4 Million Second Quarter Adjusted EBITDA Loss Range Between $8.0 Million to $9.0 Million NEW YORK, July 27, 2023 – Aterian, Inc. (Nasdaq: ATER) (“Aterian” or |
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| July 27, 2023 |
Separation Agreement and Release, dated July 26, 2023, by and between Aterian, Inc. and Yaniv Sarig Exhibit 10.1 SEPARATION AGREEMENT AND RELEASE This Separation Agreement and Release (“Agreement”) is made by and between Yaniv Sarig (“Employee”) and Aterian, Inc. (the “Company”) (collectively referred to as the “Parties” or individually referred to as a “Party”). RECITALS WHEREAS, Employee’s employment with the Company terminated on July 26, 2023 (the “Termination Date”); WHEREAS, Employee signe |
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| July 14, 2023 |
Submission of Matters to a Vote of Security Holders UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT PURSUANT TO SECTION 13 or 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 Date of Report (Date of earliest event reported): July 14, 2023 Aterian, Inc. (Exact Name of Registrant as Specified in its Charter) Delaware 001-38937 83-1739858 (State or Other Jurisdiction of Incorporation) (Commission File Number |
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| June 30, 2023 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 SCHEDULE 14A INFORMATION Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No. ) Filed by the Registrant ☒ Filed by a Party other than the Registrant ☐ Check the appropriate box: ☐ Preliminary Proxy Statement ☐ Confidential, for Use of the Commission Only (as permitted by Rule 14a-6( |
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| June 2, 2023 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 SCHEDULE 14A INFORMATION Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No. ) Filed by the Registrant ☒ Filed by a Party other than the Registrant ☐ Check the appropriate box: ☐ Preliminary Proxy Statement ☐ Confidential, for Use of the Commission Only (as permitted by Rule 14a-6 |
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| June 2, 2023 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 SCHEDULE 14A INFORMATION Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No. ) Filed by the Registrant ☒ Filed by a Party other than the Registrant ☐ Check the appropriate box: ☐ Preliminary Proxy Statement ☐ Confidential, for Use of the Commission Only (as permitted by Rule 14a-6 |
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| May 18, 2023 |
[Preliminary Copy - Subject to Completion, Dated May 18, 2023] [Preliminary Copy - Subject to Completion, Dated May 18, 2023] UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D. |
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| May 10, 2023 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 FORM 10-Q UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 FORM 10-Q (Mark One) ☒ QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended March 31, 2023 OR ☐ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 Commission File Number: 001-38937 Aterian, Inc. |
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| May 9, 2023 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT PURSUANT TO SECTION 13 or 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 Date of Report (Date of earliest event reported): May 8, 2023 (Exact Name of Registrant as Specified in its Charter) Aterian, Inc. Delaware 001-38937 83-1739858 (State or Other Jurisdiction of Incorporation) (Commission File Number) |
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| May 9, 2023 |
Exhibit 99.1 Aterian Reports First Quarter 2023 Results Reports First Quarter 2023 Net Revenue of $34.9 Million Announces Headcount Reduction Geared to Achieve Adjusted EBITDA Profitability Target NEW YORK, May 9, 2023 – Aterian, Inc. (Nasdaq: ATER) (“Aterian” or the “Company”) today announced results for the first quarter ended March 31, 2023. First Quarter Highlights • First quarter 2023 net rev |
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| April 28, 2023 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT PURSUANT TO SECTION 13 or 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 Date of Report (Date of earliest event reported): April 24, 2023 Aterian, Inc. (Exact Name of Registrant as Specified in its Charter) Delaware 001-38937 83-1739858 (State or Other Jurisdiction of Incorporation) (Commission File Numbe |
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| April 19, 2023 |
Financial Statements and Exhibits, Results of Operations and Financial Condition UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT PURSUANT TO SECTION 13 or 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 Date of Report (Date of earliest event reported): April 19, 2023 Aterian, Inc. (Exact Name of Registrant as Specified in its Charter) Delaware 001-38937 83-1739858 (State or Other Jurisdiction of Incorporation) (Commission File Numbe |
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| April 19, 2023 |
Exhibit 99.1 Aterian Announces Updated First Quarter 2023 Net Revenue and Adjusted EBITDA Ranges First Quarter Revenue Between $34.0 Million to $35.0 Million First Quarter Adjusted EBITDA Loss Range Improved to $(3.9) Million to $(4.5) Million NEW YORK, April 19, 2023 – Aterian, Inc. (Nasdaq: ATER) (“Aterian” or the “Company”) today announced updates to its previously announced net revenue and adj |
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| March 17, 2023 |
Power of Attorney is contained on the signature page. As filed with the Securities and Exchange Commission on March 17, 2023 Registration No. |
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| March 17, 2023 |
Calculation of Filing Fee Table. Exhibit 107 Calculation of Filing Fee Table S-8 (Form Type) Aterian, Inc. (Exact Name of Registrant as Specified in its Charter) Table 1: Newly Registered Securities Security Type Security Class title Fee Calculation Rule Amount Registered (1) Proposed Maximum Offering Price Per Unit (3) Maximum Aggregate Offering Price (3) Fee Rate Amount of Registration Fee Equity Common Stock, par value $0.0001 |
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| March 16, 2023 |
List of Subsidiaries of the Registrant. Exhibit 21.1 List of Subsidiaries of Aterian, Inc. Name of Subsidiary Jurisdiction Aterian Group, Inc. Delaware Xtava LLC Delaware Sunlabz LLC Delaware RIF6 LLC Delaware Vremi LLC Delaware hOmelabs LLC Delaware Vidazen LLC Delaware Urban Source LLC Delaware ZephyrBeauty LLC Delaware Discocart LLC Delaware Vueti LLC Delaware Punched LLC Delaware SweetHomeDealz LLC Delaware KitchenVox LLC Delaware E |
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| March 16, 2023 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-K 1212 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-K (Mark One) ☒ ANNUAL REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the fiscal year-ended December 31, 2022 OR ☐ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 FOR THE TRANSITION PERIOD FROM TO Commission File Number 001-38937 Aterian, I |
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| March 16, 2023 |
Description of Securities of Aterian, Inc. Exhibit 4.9 Description of Securities of Aterian, Inc. The authorized capital stock of Aterian, Inc., a Delaware corporation (the “Company”), consists of: • 500,000,000 shares of common stock, $0.0001 par value per share (“Common Stock”); and • 10,000,000 shares of preferred stock, $0.0001 par value per share (“Preferred Stock”). Common Stock Dividend Rights. Dividends may be declared and paid on |
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| March 16, 2023 |
Amended Yaniv Sarig Employment Agreement EXHIBIT 10.33 January 22, 2023 Yaniv Sarig (via email only to [email protected]) Re: Amendments to your Employment Agreement Dear Yaniv, This will amend your employment arrangements with Aterian, Inc. (the “Company”) as set forth in that letter agreement dated April 1, 2015 between you and the Company, as amended from time to time (collectively, the “Employment Agreement”). We agree that, beginning |
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| March 13, 2023 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT PURSUANT TO SECTION 13 or 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 Date of Report (Date of earliest event reported): March 10, 2023 Aterian, Inc. (Exact Name of Registrant as Specified in its Charter) Delaware 001-38937 83-1739858 (State or Other Jurisdiction of Incorporation) (Commission File Numbe |
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| March 9, 2023 |
Financial Statements and Exhibits, Results of Operations and Financial Condition UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT PURSUANT TO SECTION 13 or 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 Date of Report (Date of earliest event reported): March 9, 2023 Aterian, Inc. (Exact Name of Registrant as Specified in its Charter) Delaware 001-38937 83-1739858 (State or Other Jurisdiction of Incorporation) (Commission File Number |
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| March 9, 2023 |
Exhibit 99.1 Aterian Reports Fourth Quarter & Full Year 2022 Results Achieved Substantial Progress Selling Through High Cost Inventory to Drive Margin Expansion Starting In the First Quarter of 2023 Reaffirms Second Half 2023 Adjusted EBITDA Profitability Target NEW YORK, March 9, 2023 – Aterian, Inc. (Nasdaq: ATER) (“Aterian” or the “Company”) today announced results for the fourth quarter and fu |
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| February 6, 2023 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT PURSUANT TO SECTION 13 or 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 Date of Report (Date of earliest event reported): February 3, 2023 Aterian, Inc. (Exact Name of Registrant as Specified in its Charter) Delaware 001-38937 83-1739858 (State or Other Jurisdiction of Incorporation) (Commission File Num |
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| February 6, 2023 |
Exhibit 99.1 Aterian Announces Management Promotions and Changes Company is Benefiting from Improved Shipping Costs and Continues to Target Adjusted EBITDA Profitability in the Second Half of 2023 NEW YORK, February 6, 2023 – Aterian, Inc. (Nasdaq: ATER) (“Aterian” or the “Company”) today announced it has made several management promotions and changes that the Company believes will further streaml |
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| January 17, 2023 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT PURSUANT TO SECTION 13 or 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 Date of Report (Date of earliest event reported): January 17, 2023 Aterian, Inc. (Exact Name of Registrant as Specified in its Charter) Delaware 001-38937 83-1739858 (State or Other Jurisdiction of Incorporation) (Commission File Num |
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| January 17, 2023 |
Exhibit 99.1 Aterian Announces Preliminary Fourth Quarter & Full Year 2022 Net Revenue Results Fourth Quarter 2022 Revenue Range $54.0 Million To $55.0 Million CEO to Take 80% of 2023 Base Salary in Restricted Aterian Common Stock NEW YORK, January 17, 2023 – Aterian, Inc. (Nasdaq: ATER) (“Aterian” or the “Company”) today announced preliminary net revenue results for the fourth quarter and fiscal |
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| January 13, 2023 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT PURSUANT TO SECTION 13 or 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 Date of Report (Date of earliest event reported): January 13, 2023 Aterian, Inc. (Exact Name of Registrant as Specified in its Charter) Delaware 001-38937 83-1739858 (State or Other Jurisdiction of Incorporation) (Commission File Num |
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| January 13, 2023 |
Case 1:21-cv-08657-VM Document 39 Filed 12/23/22 Page 1 of 27 Case 1:21-cv-08657-VM Document 39 Filed 12/23/22 Page 1 of 27 Exhibit 99.1 UNITED STATES DISTRICT COURT SOUTHERN DISTRICT OF NEW YORK SHAOXUAN ZHANG, derivatively on behalf of ATERIAN, INC., Lead Case 1:21-cv-08657-VM (Master) (Derivative Action) Plaintiff, v. YANIV SARIG et al. Defendants, and ATERIAN, INC., Nominal Defendant. STIPULATION AND AGREEMENT OF SETTLEMENT This Stipulation and Agreement |
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| January 13, 2023 |
UNITED STATES DISTRICT COURT SOUTHERN DISTRICT OF NEW YORK UNITED STATES DISTRICT COURT SOUTHERN DISTRICT OF NEW YORK SHAOXUAN ZHANG, derivatively on behalf of ATERIAN, INC. |
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| November 9, 2022 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 FORM 10-Q UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 FORM 10-Q (Mark One) ☒ QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended September 30, 2022 OR ☐ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 Commission File Number: 001-38937 Aterian, Inc. |
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| November 8, 2022 |
Exhibit 99.1 Aterian Reports Third Quarter 2022 Results Reports Third Quarter 2022 Net Revenue of $66.3 Million Targeting Adjusted EBITDA Profitability in the Second Half of 2023 Driven Primarily by Improving International Shipping Rates and Cost Reductions NEW YORK, November 8, 2022 – Aterian, Inc. (Nasdaq: ATER) (“Aterian” or the “Company”) today announced results for the third quarter ended Sep |
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| November 8, 2022 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT PURSUANT TO SECTION 13 or 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 Date of Report (Date of earliest event reported): November 8, 2022 Aterian, Inc. (Exact Name of Registrant as Specified in its Charter) Delaware 001-38937 83-1739858 (State or Other Jurisdiction of Incorporation) (Commission File Num |
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| October 4, 2022 |
Exhibit 99.2 Aterian Announces Pricing of $20 Million Registered Direct Offering Strengthens Balance Sheet and Provides Additional Growth Capital NEW YORK, September 30, 2022 ? Aterian, Inc. (Nasdaq: ATER) (?Aterian? or the ?Company?) today announced the pricing of a registered direct offering of 10,526,368 shares of its common stock (or, in lieu of shares of common stock, pre-funded warrants to p |
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| October 4, 2022 |
Exhibit 99.3 Aterian Announces Closing of $20 Million Registered Direct Offering Strengthens Balance Sheet And Provides Growth Capital NEW YORK, October 4, 2022 ? Aterian, Inc. (Nasdaq: ATER) (?Aterian? or the ?Company?) today announced the closing of its previously announced registered direct offering of 10,643,034 shares of its common stock and accompanying warrants to purchase 10,643,034 shares |
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| October 4, 2022 |
Table of Contents Filed Pursuant to Rule 424(b)(5) Registration No. 333-239614 PROSPECTUS SUPPLEMENT (to Prospectus dated July 8, 2020) 11,274,616 Shares of Common Stock Warrants to Purchase up to 10,643,034 Shares of Common Stock Placement Agent Warrants to Purchase up to 631,582 Shares of Common Stock We are offering directly to investors 10,643,034 shares of our common stock, $0.0001 par value |
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| October 4, 2022 |
Form of Common Stock Warrant, dated October 4, 2022. Exhibit 4.1 COMMON STOCK PURCHASE WARRANT ATERIAN, INC. Warrant Shares: Initial Exercise Date: , 20 Issue Date: , 2022 THIS COMMON STOCK PURCHASE WARRANT (the ?Warrant?) certifies that, for value received, or its assigns (the ?Holder?) is entitled, upon the terms and subject to the limitations on exercise and the conditions hereinafter set forth, at any time on or after , 20 (the ?Initial Exercise |
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| October 4, 2022 |
Exhibit 99.1 Aterian Announces Third Quarter 2022 Net Revenue Range; Resumes M&A Strategy Third Quarter Net Revenue Will Be In The Range of $63 Million To $67 Million Company Intends To Acquire A Health & Wellness Brand NEW YORK, September 29, 2022 ? Aterian, Inc. (Nasdaq: ATER) (?Aterian? or the ?Company?) today announced that it is resuming its M&A strategy after its previously announced pause f |
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| October 4, 2022 |
Exhibit 10.1 SECURITIES PURCHASE AGREEMENT This Securities Purchase Agreement (this ?Agreement?) is dated as of September 29, 2022, between Aterian, Inc., a Delaware corporation (the ?Company?), and each purchaser identified on the signature pages hereto (each, including its successors and assigns, a ?Purchaser? and collectively, the ?Purchasers?). WHEREAS, subject to the terms and conditions set |
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| October 4, 2022 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT PURSUANT TO SECTION 13 or 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 Date of Report (Date of earliest event reported): September 29, 2022 Aterian, Inc. (Exact Name of Registrant as Specified in its Charter) Delaware 001-38937 83-1739858 (State or Other Jurisdiction of Incorporation) (Commission File N |
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| August 8, 2022 |
Financial Statements and Exhibits, Results of Operations and Financial Condition UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT PURSUANT TO SECTION 13 or 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 Date of Report (Date of earliest event reported): August 8, 2022 Aterian, Inc. (Exact Name of Registrant as Specified in its Charter) Delaware 001-38937 83-1739858 (State or Other Jurisdiction of Incorporation) (Commission File Numbe |
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| August 8, 2022 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 FORM 10-Q UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 FORM 10-Q (Mark One) ? QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended June 30, 2022 OR ? TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 Commission File Number: 001-38937 Aterian, Inc. |
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| August 8, 2022 |
Exhibit 99.1 Aterian Reports Second Quarter 2022 Results Reports Second Quarter 2022 Net Revenue of $58.3 Million Sees Preliminary Signs of Relief in Container Shipping Costs, Company is Gradually Resuming New Product Development NEW YORK, August 8, 2022 ? Aterian, Inc. (Nasdaq: ATER) (?Aterian? or the ?Company?) today announced results for the second quarter ended June 30, 2022. Second Quarter 20 |
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| July 28, 2022 |
Submission of Matters to a Vote of Security Holders UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT PURSUANT TO SECTION 13 or 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 Date of Report (Date of earliest event reported): July 26, 2022 Aterian, Inc. (Exact Name of Registrant as Specified in its Charter) Delaware 001-38937 83-1739858 (State or Other Jurisdiction of Incorporation) (Commission File Number |
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| June 15, 2022 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 SCHEDULE 14A INFORMATION Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No.?) Filed by the Registrant ? Filed by a Party other than the Registrant ?? Check the appropriate box: ?? Preliminary Proxy Statement ?? Confidential, for Use of the Commission Only (as permitted by Rule 14a-6 |
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| June 15, 2022 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 SCHEDULE 14A INFORMATION Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No.?) Filed by the Registrant ? Filed by a Party other than the Registrant ?? Check the appropriate box: ?? Preliminary Proxy Statement ?? Confidential, for Use of the Commission Only (as permitted by Rule 14a-6 |
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| June 10, 2022 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT PURSUANT TO SECTION 13 or 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 Date of Report (Date of earliest event reported): June 8, 2022 Aterian, Inc. (Exact Name of Registrant as Specified in its Charter) Delaware 001-38937 83-1739858 (State or Other Jurisdiction of Incorporation) (Commission File Number) |
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| June 1, 2022 |
Amended and Restated Bylaws of Aterian, Inc. Exhibit 3.1 THIRD AMENDED AND RESTATED BYLAWS OF ATERIAN, INC. (a Delaware corporation) TABLE OF CONTENTS Page ARTICLE I - CORPORATE OFFICES 1 1.1 REGISTERED OFFICE 1 1.2 OTHER OFFICES 1 ARTICLE II - MEETINGS OF STOCKHOLDERS 1 2.1 PLACE OF MEETINGS 1 2.2 ANNUAL MEETING 1 2.3 SPECIAL MEETING 1 2.4 ADVANCE NOTICE PROCEDURES FOR BUSINESS BROUGHT BEFORE A MEETING 2 2.5 ADVANCE NOTICE PROCEDURES FOR NO |
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| June 1, 2022 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT PURSUANT TO SECTION 13 or 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 Date of Report (Date of earliest event reported): May 31, 2022 Aterian, Inc. (Exact Name of Registrant as Specified in its Charter) Delaware 001-38937 83-1739858 (State or Other Jurisdiction of Incorporation) (Commission File Number) |
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| May 27, 2022 |
Aterian, Inc. 2022 Inducement Equity Incentive Plan. Exhibit 10.1 ATERIAN, INC. 2022 INDUCEMENT EQUITY INCENTIVE PLAN 1. Purposes of the Plan. The purposes of the Plan are to attract and retain the best available personnel for positions of substantial responsibility by providing an inducement material to individuals entering into employment with the Company or any Parent or Subsidiary of the Company. The Plan permits the grant of Nonstatutory Stock |
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| May 27, 2022 |
Form of Stock Option Agreement under the Aterian, Inc. 2022 Inducement Equity Incentive Plan. Exhibit 4.3 ATERIAN, INC. 2022 INDUCEMENT EQUITY INCENTIVE PLAN STOCK OPTION AGREEMENT Unless otherwise defined herein, the terms defined in the Aterian, Inc. 2022 Inducement Equity Incentive Plan (the ?Plan?) will have the same defined meanings in this Stock Option Agreement (the ?Agreement?), including the Notice of Stock Option Grant (the ?Notice of Grant?) and Terms and Conditions of Stock Opt |
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| May 27, 2022 |
Exhibit 4.4 ATERIAN, INC. 2022 INDUCEMENT EQUITY INCENTIVE PLAN RESTRICTED STOCK UNIT AGREEMENT Unless otherwise defined herein, the terms defined in the Aterian, Inc. 2022 Inducement Equity Incentive Plan (the ?Plan?) will have the same defined meanings in this Restricted Stock Unit Agreement (the ?Award Agreement?), which includes the Notice of Restricted Stock Unit Grant (the ?Notice of Grant?) |
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| May 27, 2022 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT PURSUANT TO SECTION 13 or 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 Date of Report (Date of earliest event reported): May 27, 2022 Aterian, Inc. (Exact Name of Registrant as Specified in its Charter) Delaware 001-38937 83-1739858 (State or Other Jurisdiction of Incorporation) (Commission File Number) |
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| May 27, 2022 |
Exhibit 4.5 ATERIAN, INC. 2022 INDUCEMENT EQUITY INCENTIVE PLAN RESTRICTED STOCK AWARD AGREEMENT Unless otherwise defined herein, the terms defined in the Aterian, Inc. 2022 Inducement Equity Incentive Plan (the ?Plan?) will have the same defined meanings in this Restricted Stock Award Agreement (the ?Award Agreement?), which includes the Notice of Restricted Stock Award Grant (the ?Notice of Gran |
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| May 27, 2022 |
Calculation of Filing Fee Table Exhibit 107 Calculation of Filing Fee Table S-8 (Form Type) Aterian, Inc. (Exact Name of Registrant as Specified in its Charter) Table 1: Newly Registered Securities Security Type Security Class Title Fee Calculation Rule Amount Registered(1) Proposed Maximum Offering Price Per Unit Maximum Aggregate Offering Price Fee Rate Amount of Registration Fee Fees to Be Paid Equity Common Stock, par value |
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| May 27, 2022 |
As filed with the Securities and Exchange Commission on May 27, 2022 As filed with the Securities and Exchange Commission on May 27, 2022 Registration No. |
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| May 10, 2022 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 FORM 10-Q UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 FORM 10-Q (Mark One) ☒ QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended March 31, 2022 OR ☐ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 Commission File Number: 001-38937 Aterian, Inc. |
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| May 9, 2022 |
Financial Statements and Exhibits, Results of Operations and Financial Condition UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT PURSUANT TO SECTION 13 or 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 Date of Report (Date of earliest event reported): May 9, 2022 Aterian, Inc. (Exact Name of Registrant as Specified in its Charter) Delaware 001-38937 83-1739858 (State or Other Jurisdiction of Incorporation) (Commission File Number) |
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| May 9, 2022 |
Exhibit 99.1 Aterian Reports First Quarter 2022 Results Reports First Quarter 2022 Net Revenue of $41.7 Million First Quarter Cash Balance of $44.3 Million NEW YORK, May 9, 2022 ? Aterian, Inc. (Nasdaq: ATER) (?Aterian? or the ?Company?) today announced results for the first quarter ended March 31, 2022. First Quarter 2022 Highlights ? First quarter 2022 net revenue declined 13.3% to $41.7 million |
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| April 18, 2022 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT PURSUANT TO SECTION 13 or 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 Date of Report (Date of earliest event reported): April 18, 2022 Aterian, Inc. (Exact Name of Registrant as Specified in its Charter) Delaware 001-38937 83-1739858 (State or Other Jurisdiction of Incorporation) (Commission File Numbe |
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| April 18, 2022 |
Exhibit 99.1 Aterian Appoints New Chief Operating Officer Anton von Rueden Brings Significant E-Commerce and Supply Chain Expertise NEW YORK, April 18, 2022 ? Aterian, Inc. (Nasdaq: ATER) (?Aterian? or the ?Company?) announced today the appointment of Anton von Rueden as Chief Operating Officer, effective April 18, 2022. Mr. von Rueden will oversee the Company?s global supply chain operations and |
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| April 8, 2022 |
Aterian, Inc. 17,530,070 Shares of Common Stock Table of Contents Filed Pursuant to Rule 424(b)(3) Registration No. 333-263904 Prospectus Aterian, Inc. 17,530,070 Shares of Common Stock This prospectus relates to the resale by the investors listed in the section of this prospectus entitled ?Selling Stockholders? (the ?Selling Stockholders?) of up to 17,530,070 shares (the ?Shares?) of our common stock, par value $0.0001 per share (?Common Stock |
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| April 6, 2022 |
Aterian, Inc. 37 E. 18th St, 7th Fl New York, NY 10003 Aterian, Inc. 37 E. 18th St, 7th Fl New York, NY 10003 April 6, 2022 VIA EDGAR United States Securities and Exchange Commission Division of Corporation Finance Office of Manufacturing 100 F Street, N.E. Washington, D.C. 20549-0406 Attention: Gregory Herbers Re: Aterian, Inc. Registration Statement on Form S-1 Registration No. 333-263904 Ladies and Gentlemen: Pursuant to Rule 461 under the Securiti |
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| April 1, 2022 |
Exhibit 99.1 Aterian Adds Seasoned Industry Executive To Its Board Of Directors Cynthia Williams Brings Significant Technology and E-Commerce Expertise from Microsoft and Amazon NEW YORK, April 1, 2022 ? Aterian, Inc. (Nasdaq: ATER) (?Aterian? or the ?Company?) announced that effective today Cynthia Williams has joined the Company?s Board of Directors (the ?Board?). Williams is an experienced e-co |
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| April 1, 2022 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT PURSUANT TO SECTION 13 or 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 Date of Report (Date of earliest event reported): April 1, 2022 Aterian, Inc. (Exact Name of Registrant as Specified in its Charter) Delaware 001-38937 83-1739858 (State or Other Jurisdiction of Incorporation) (Commission File Number |
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| March 28, 2022 |
As filed with the Securities and Exchange Commission on March 28, 2022. Table of Contents As filed with the Securities and Exchange Commission on March 28, 2022. |
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| March 28, 2022 |
As filed with the Securities and Exchange Commission on March 28, 2022 As filed with the Securities and Exchange Commission on March 28, 2022 Registration No. |
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| March 28, 2022 |
Calculation of Filing Fee Table Exhibit 107 Calculation of Filing Fee Table S-1 (Form Type) Aterian, Inc. (Exact Name of Registrant as Specified in its Charter) Table 1: Newly Registered Securities Security Type Security Class Title Fee Calculation Rule Amount Registered(1) Proposed Maximum Offering Price Per Unit Maximum Aggregate Offering Price Fee Rate Amount of Registration Fee Fees to Be Paid Equity Common Stock, par value |
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| March 28, 2022 |
Calculation of Filing Fee Table. EX-FILING FEES 4 d329229dexfilingfees.htm EX-FILING FEES Exhibit 107 Calculation of Filing Fee Table S-8 (Form Type) Aterian, Inc. (Exact Name of Registrant as Specified in its Charter) Table 1: Newly Registered Securities Security Type Security Class Title Fee Calculation Rule Amount Registered(1) Proposed Maximum Offering Price Per Unit Maximum Aggregate Offering Price Fee Rate Amount of Registr |
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| March 28, 2022 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-K/A (Amendment No. 1) (Mark One) ? ANNUAL REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the fiscal year ended December 31, 2021 OR ? TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 FOR THE TRANSITION PERIOD FROM TO Commission File Number 001-3 |
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| March 16, 2022 |
Exhibit 4.9 Description of Securities of Aterian, Inc. The authorized capital stock of Aterian, Inc., a Delaware corporation (the ?Company?), consists of: ? 500,000,000 shares of common stock, $0.0001 par value per share (?Common Stock?); and ? 10,000,000 shares of preferred stock, $0.0001 par value per share (?Preferred Stock?). Common Stock Dividend Rights. Dividends may be declared and paid on |
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| March 16, 2022 |
List of Subsidiaries of the Registrant. Exhibit 21.1 List of Subsidiaries of Aterian, Inc. Name of Subsidiary Jurisdiction Aterian Group, Inc. Delaware Xtava LLC Delaware Sunlabz LLC Delaware RIF6 LLC Delaware Vremi LLC Delaware hOmelabs LLC Delaware Vidazen LLC Delaware Urban Source LLC Delaware ZephyrBeauty LLC Delaware Discocart LLC Delaware Vueti LLC Delaware Punched LLC Delaware SweetHomeDealz LLC Delaware KitchenVox LLC Delaware E |
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| March 16, 2022 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-K (Mark One) ? ANNUAL REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the fiscal year-ended December 31, 2021 OR ? TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 FOR THE TRANSITION PERIOD FROM TO Commission File Number 001-38937 Aterian, Inc. ( |
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| March 8, 2022 |
Exhibit 99.1 Aterian Reports Fourth Quarter & Full Year 2021 Results Quarterly Net Revenue Grew 52.6% Year-Over-Year to $63.3 Million Full Year Net Revenue Grew 33.4% Year-Over-Year to $247.8 Million NEW YORK, March 8, 2022 ? Aterian, Inc. (Nasdaq: ATER) (?Aterian? or the ?Company?) today announced results for the fourth quarter and full year ended December 31, 2021. Fourth Quarter Highlights ? Fo |
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| March 8, 2022 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT PURSUANT TO SECTION 13 or 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 Date of Report (Date of earliest event reported): March 8, 2022 Aterian, Inc. (Exact Name of Registrant as Specified in its Charter) Delaware 001-38937 83-1739858 (State or Other Jurisdiction of Incorporation) (Commission File Number |
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| March 4, 2022 |
Exhibit 99.2 Aterian Closes $27.5 Million Private Placement Strengthens Balance Sheet and Provides Additional Growth Capital NEW YORK, March 4, 2022 ? Aterian, Inc. (Nasdaq: ATER) (?Aterian? or the ?Company?) today announced the closing of its previously announced private placement for the issuance and sale of 6,436,322 shares of common stock (the ?Common Stock?), 3,013,850 pre-funded warrants to |
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| March 4, 2022 |
Form of Common Stock Purchase Warrant. Exhibit 4.2 NEITHER THIS SECURITY NOR THE SECURITIES FOR WHICH THIS SECURITY IS EXERCISABLE HAVE BEEN REGISTERED WITH THE SECURITIES AND EXCHANGE COMMISSION OR THE SECURITIES COMMISSION OF ANY STATE IN RELIANCE UPON AN EXEMPTION FROM REGISTRATION UNDER THE SECURITIES ACT OF 1933, AS AMENDED (THE ?SECURITIES ACT?), AND, ACCORDINGLY, MAY NOT BE OFFERED OR SOLD EXCEPT PURSUANT TO AN EFFECTIVE REGISTR |
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| March 4, 2022 |
Exhibit 10.1 SECURITIES PURCHASE AGREEMENT This Securities Purchase Agreement (this ?Agreement?) is dated as of March 1, 2022, between Aterian, Inc., a Delaware corporation (the ?Company?), and each purchaser identified on the signature pages hereto (each, including its successors and assigns, a ?Purchaser? and collectively, the ?Purchasers?). WHEREAS, subject to the terms and conditions set forth |
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| March 4, 2022 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT PURSUANT TO SECTION 13 or 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 Date of Report (Date of earliest event reported): March 1, 2022 Aterian, Inc. (Exact Name of Registrant as Specified in its Charter) Delaware 001-38937 83-1739858 (State or Other Jurisdiction of Incorporation) (Commission File Number |
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| March 4, 2022 |
Form of Pre-Funded Common Stock Purchase Warrant. Exhibit 4.1 NEITHER THIS SECURITY NOR THE SECURITIES FOR WHICH THIS SECURITY IS EXERCISABLE HAVE BEEN REGISTERED WITH THE SECURITIES AND EXCHANGE COMMISSION OR THE SECURITIES COMMISSION OF ANY STATE IN RELIANCE UPON AN EXEMPTION FROM REGISTRATION UNDER THE SECURITIES ACT OF 1933, AS AMENDED (THE ?SECURITIES ACT?), AND, ACCORDINGLY, MAY NOT BE OFFERED OR SOLD EXCEPT PURSUANT TO AN EFFECTIVE REGISTR |
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| March 4, 2022 |
Exhibit 99.1 Aterian Announces Pricing of $27.5 Million Private Placement Strengthens Balance Sheet and Provides Additional Growth Capital NEW YORK, March 2, 2022 ? Aterian, Inc. (Nasdaq: ATER) (?Aterian? or the ?Company?) announced today that it has entered into a securities purchase agreement with certain accredited investors for a private placement transaction (the ?Private Placement?). Aterian |
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| March 4, 2022 |
Exhibit 10.2 REGISTRATION RIGHTS AGREEMENT This Registration Rights Agreement (this ?Agreement?) is made and entered into as of March 1, 2022, between Aterian, Inc., a Delaware corporation (the ?Company?), and each of the several purchasers signatory hereto (each such purchaser, a ?Purchaser? and, collectively, the ?Purchasers?). This Agreement is made pursuant to the Securities Purchase Agreement |
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| February 1, 2022 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT PURSUANT TO SECTION 13 or 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 Date of Report (Date of earliest event reported): January 31, 2022 Aterian, Inc. (Exact Name of Registrant as Specified in its Charter) Delaware 001-38937 83-1739858 (State or Other Jurisdiction of Incorporation) (Commission File Num |
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| February 1, 2022 |
EX-99.1 Exhibit 99.1 Aterian Adds Two Industry Leaders To Its Board Of Directors Susan Lattmann and Sarah Liebel Bring Significant E-commerce and Financial Expertise Aterian’s Board Now Majority Female Greg Petersen to Transition Off Board April 1st NEW YORK, February 1, 2022 — Aterian, Inc. (Nasdaq: ATER) (“Aterian” or the “Company”) announced that effective today Susan Lattmann and Sarah Liebel |
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| December 30, 2021 |
Aterian, Inc. 37 E. 18th St, 7th Fl New York, NY 10003 December 30, 2021 Andi Carpenter Anne McConnell U.S. Securities and Exchange Commission Division of Corporation Finance 100 F Street, N.E. Washington, D.C. 20549 Re: Aterian, Inc. Form 10-K for the Fiscal Year Ended December 31, 2020 Form 10-Q for the Quarter Ended September 30, 2021 Filed March 16, 2021 and November 9, 2021 File No. 001-38937 |
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| December 27, 2021 |
Exhibit 10.1 Execution Version CREDIT AND SECURITY AGREEMENT dated as of December 22, 2021 by and among ATERIAN, INC. and ITS SUBSIDIARIES FROM TIME TO TIME PARTY HERETO, each as a Borrower, and collectively as Borrowers, and MIDCAP FUNDING IV TRUST, as Agent and as a Lender, and THE ADDITIONAL LENDERS FROM TIME TO TIME PARTY HERETO Midcap / Aterian / Credit Agreement DC - 036639/000052 - 10453208 |
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| December 27, 2021 |
Form of Warrant to Purchase Stock, dated December 22, 2021. Exhibit 4.1 Execution Version THIS WARRANT AND THE SHARES ISSUABLE HEREUNDER HAVE NOT BEEN REGISTERED UNDER THE SECURITIES ACT OF 1933, AS AMENDED (THE ?ACT?), OR THE SECURITIES LAWS OF ANY STATE AND, EXCEPT AND PURSUANT TO THE PROVISIONS OF ARTICLE 5 BELOW, MAY NOT BE OFFERED, SOLD OR OTHERWISE TRANSFERRED, PLEDGED OR HYPOTHECATED UNLESS AND UNTIL REGISTERED UNDER SAID ACT AND APPLICABLE STATE SE |
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| December 27, 2021 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT PURSUANT TO SECTION 13 or 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 Date of Report (Date of earliest event reported): December 22, 2021 Aterian, Inc. (Exact Name of Registrant as Specified in its Charter) Delaware 001-38937 83-1739858 (State or Other Jurisdiction of Incorporation) (Commission File Nu |
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| December 27, 2021 |
Exhibit 99.1 Aterian Signs A $50 Million Credit Facility With MidCap Financial Trust Pays off Remaining $25 Million Term Loan NEW YORK, December 27, 2021 ? Aterian, Inc. (Nasdaq: ATER) (?Aterian?) announced today that it has signed an asset backed credit facility with MidCap Financial Trust (?MidCap?), which is managed by a subsidiary of Apollo Global Management, Inc. The credit facility has a thr |
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| November 9, 2021 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 FORM 10-Q UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 FORM 10-Q (Mark One) ? QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended September 30, 2021 OR ? TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 Commission File Number: 001-38937 Aterian, Inc. |
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| November 9, 2021 |
Exhibit 10.5 September 22, 2021 High Trail Investments SA LLC 221 River Street, 9th Floor Hoboken, NJ 07030 Attention: Eric Helenek Re:Agreement re Events of Default Ladies and Gentlemen: Reference is made to: (i) that certain Senior Secured Note due 2024 (Certificate No. A-2) issued on April 8, 2021 by Aterian, Inc. (formerly known as Mohawk Group Holdings, Inc.) (the ?Company?) to High Trail Inv |
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| November 9, 2021 |
Exhibit 10.6 September 22, 2021 High Trail Investments ON LLC 221 River Street, 9th Floor Hoboken, NJ 07030 Attention: Eric Helenek Re:Agreement re Events of Default Ladies and Gentlemen: Reference is made to: (i) that certain Senior Secured Note due 2024 (Certificate No. A-4) issued on April 8, 2021 by Aterian, Inc. (formerly known as Mohawk Group Holdings, Inc.) (the ?Company?) to High Trail Inv |
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| November 9, 2021 |
Exhibit 4.19 SECOND OMNIBUS AMENDMENT TO SENIOR SECURED NOTES DUE 2024 AND WARRANTS TO PURCHASE COMMON STOCK This SECOND OMNIBUS AMENDMENT TO SENIOR SECURED NOTES DUE 2024 AND WARRANTS TO PURCHASE COMMON STOCK (this ?Amendment?) is made and entered into as of September 22, 2021, by and among Aterian, Inc. (formerly known as Mohawk Group Holdings, Inc.), a Delaware corporation (the ?Company?), High |
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| November 8, 2021 |
Exhibit 99.1 Aterian Reports Third Quarter 2021 Results Quarterly Net Revenue Grew 16% Year-Over-Year to $68.1 Million With Positive Adjusted EBITDA Quarterly Direct Revenue (excluding Wholesale and PPE) Grew 37% Year-Over-Year Company Optimizing its Supply Chain and Secures Competitive Shipping Rates NEW YORK, November 8, 2021 ? Aterian, Inc. (Nasdaq: ATER) (?Aterian? or the ?Company?) today anno |
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| November 8, 2021 |
Financial Statements and Exhibits, Results of Operations and Financial Condition UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT PURSUANT TO SECTION 13 or 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 Date of Report (Date of earliest event reported): November 8, 2021 Aterian, Inc. (Exact Name of Registrant as Specified in its Charter) Delaware 001-38937 83-1739858 (State or Other Jurisdiction of Incorporation) (Commission File Num |
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| September 24, 2021 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 FORM 10-Q/A (Amendment No. 1) UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 FORM 10-Q/A (Amendment No. |
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| September 24, 2021 |
Aterian, Inc. 37 E. 18th St, 7th Fl New York, NY 10003 September 24, 2021 Andi Carpenter Anne McConnell U.S. Securities and Exchange Commission Division of Corporation Finance 100 F Street, N.E. Washington, D.C. 20549 Re: Aterian, Inc. Form 10-K for the Fiscal Year Ended December 31, 2020 Filed March 16, 2021 File No. 001-38937 Dear U.S. Securities and Exchange Commission Division of Corporation F |
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| September 24, 2021 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 FORM 10-Q/A (Amendment No. 1) UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 FORM 10-Q/A (Amendment No. |
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| September 24, 2021 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 FORM 10-K/A (Amendment No. 2) UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 FORM 10-K/A (Amendment No. |
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| September 24, 2021 |
Unregistered Sales of Equity Securities, Financial Statements and Exhibits, Other Events UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT PURSUANT TO SECTION 13 or 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 Date of Report (Date of earliest event reported): September 22, 2021 Aterian, Inc. (Exact Name of Registrant as Specified in its Charter) Delaware 001-38937 83-1739858 (State or Other Jurisdiction of Incorporation) (Commission File N |
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| September 23, 2021 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT PURSUANT TO SECTION 13 or 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 Date of Report (Date of earliest event reported): September 22, 2021 Aterian, Inc. (Exact Name of Registrant as Specified in its Charter) Delaware 001-38937 83-1739858 (State or Other Jurisdiction of Incorporation) (Commission File N |
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| September 23, 2021 |
Exhibit 99.1 Aterian Reaches Agreement with Lender to Pay Down Its Term Loan Debt Company Makes Material Progress in Reducing Container Shipping Cost New York, September 23, 2021 ? Aterian, Inc. (Nasdaq: ATER) (?Aterian? or the ?Company?) announced today that it has reached an agreement with its lender, High Trail, to pay down its outstanding secured term debt in an aggregate principal amount of $ |
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| August 19, 2021 |
Aterian, Inc. 2,722,075 Shares of Common Stock 424B3 1 ater-424b3.htm 424B3 Filed Pursuant to Rule 424(b)(3) Registration No. 333-258643 Prospectus Aterian, Inc. 2,722,075 Shares of Common Stock This prospectus relates to the resale by the investors listed in the section of this prospectus entitled “Selling Stockholders” (the “Selling Stockholders”) of up to 2,722,075 shares (the “Shares”) of our common stock, par value $0.0001 per share (“Com |
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| August 16, 2021 |
Aterian, Inc. 37 E. 18th St, 7th Fl New York, NY 10003 Aterian, Inc. 37 E. 18th St, 7th Fl New York, NY 10003 August 16, 2021 VIA EDGAR United States Securities and Exchange Commission Division of Corporation Finance Office of Manufacturing 100 F Street, N.E. Washington, D.C. 20549-0406 Re: Aterian, Inc. Registration Statement on Form S-1 Registration No. 333-258643 Ladies and Gentlemen: Pursuant to Rule 461 under the Securities Act of 1933, as amende |
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| August 10, 2021 |
Unregistered Sales of Equity Securities, Financial Statements and Exhibits, Other Events UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT PURSUANT TO SECTION 13 or 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 Date of Report (Date of earliest event reported): August 9, 2021 Aterian, Inc. (Exact Name of Registrant as Specified in its Charter) Delaware 001-38937 83-1739858 (State or Other Jurisdiction of Incorporation) (Commission File Numbe |
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| August 10, 2021 |
Exhibit 10.4 August 9, 2021 High Trail Investments ON LLC 221 River Street, 9th Floor Hoboken, NJ 07030 Attention: Eric Helenek Re: Agreement re Failure to Comply with EBITDA Covenant Ladies and Gentlemen: Reference is made to that certain Senior Secured Note due 2024 (Certificate No. A-5) issued on April 8, 2021 by Aterian, Inc. (formerly known as Mohawk Group Holdings, Inc.) (the ?Company?) to H |
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| August 10, 2021 |
Exhibit 10.5 OMNIBUS AMENDMENT TO SENIOR SECURED NOTES DUE 2024 AND WARRANTS TO PURCHASE COMMON STOCK This OMNIBUS AMENDMENT TO SENIOR SECURED NOTES DUE 2024 AND WARRANTS TO PURCHASE COMMON STOCK (this ?Amendment?) is made and entered into as of August 9, 2021, by and among Aterian, Inc. (formerly known as Mohawk Group Holdings, Inc.), a Delaware corporation (the ?Company?), High Trail Investments |
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| August 10, 2021 |
Exhibit 10.3 August 9, 2021 High Trail Investments ON LLC 221 River Street, 9th Floor Hoboken, NJ 07030 Attention: Eric Helenek Re: Agreement re Failure to Comply with EBITDA Covenant Ladies and Gentlemen: Reference is made to that certain Senior Secured Note due 2024 (Certificate No. A-4) issued on April 8, 2021 by Aterian, Inc. (formerly known as Mohawk Group Holdings, Inc.) (the ?Company?) to H |
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| August 10, 2021 |
Exhibit 10.2 August 9, 2021 High Trail Investments SA LLC 221 River Street, 9th Floor Hoboken, NJ 07030 Attention: Eric Helenek Re: Agreement re Failure to Comply with EBITDA Covenant Ladies and Gentlemen: Reference is made to that certain Senior Secured Note due 2024 (Certificate No. A-3) issued on April 8, 2021 by Aterian, Inc. (formerly known as Mohawk Group Holdings, Inc.) (the ?Company?) to H |
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| August 10, 2021 |
Exhibit 10.1 August 9, 2021 High Trail Investments SA LLC 221 River Street, 9th Floor Hoboken, NJ 07030 Attention: Eric Helenek Re: Agreement re Failure to Comply with EBITDA Covenant Ladies and Gentlemen: Reference is made to that certain Senior Secured Note due 2024 (Certificate No. A-2) issued on April 8, 2021 by Aterian, Inc. (formerly known as Mohawk Group Holdings, Inc.) (the ?Company?) to H |
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| August 9, 2021 |
As filed with the Securities and Exchange Commission on August 9, 2021. As filed with the Securities and Exchange Commission on August 9, 2021. Registration No. 333- UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM S-1 REGISTRATION STATEMENT UNDER THE SECURITIES ACT OF 1933 Aterian, Inc. (Exact name of Registrant as specified in its charter) Delaware (State or other jurisdiction of incorporation or organization) 3634 (Primary Standard Indus |
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| August 9, 2021 |
Exhibit 10.15 AMENDMENT TO LOCK-UP, VOTING AND STANDSTILL AGREEMENT This AMENDMENT TO LOCK-UP, VOTING AND STANDSTILL AGREEMENT (this ?Amendment?), dated as of May 31, 2021, is entered into by and between Aterian, Inc., a Delaware corporation (f/k/a Mohawk Group Holdings, Inc.) (the ?Company?), and Healing Solutions LLC, a Delaware limited liability company (the ?Stockholder?). WHEREAS, the Company |
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| August 9, 2021 |
EX-10.13 2 ater-ex101390.htm EX-10.13 Exhibit 10.13 EXECUTION VERSION OMNIBUS FIRST AMENDMENT TO SENIOR SECURED NOTES DUE 2024 This OMNIBUS FIRST AMENDMENT TO SENIOR SECURED NOTES DUE 2024 (this “Amendment”) is made and entered into as of May 19, 2021, by and among Aterian, Inc. (formerly known as Mohawk Group Holdings, Inc.), a Delaware corporation (the “Company”), High Trail Investments ON LLC ( |
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| August 9, 2021 |
Lock-Up Agreement, dated as of May 31, 2021, by and between the Registrant and Asher Delug. Exhibit 10.14 LOCK-UP AGREEMENT This Lock-Up Agreement (as amended, restated, supplemented or otherwise modified in accordance with Section 10.3, this ?Agreement?) is made and entered into as of May 31, 2021 by and between Aterian, Inc., a Delaware corporation (the ?Company?), and Asher Delug (the ?Stockholder?). RECITALS Whereas, 1,251,804 shares of the Company?s common stock, $0.0001 par value p |
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| August 9, 2021 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 FORM 10-Q UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 FORM 10-Q (Mark One) ? QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended June 30, 2021 OR ? TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 Commission File Number: 001-38937 Aterian, Inc. |
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| August 9, 2021 |
Exhibit 10.16 AMENDMENT TO LOCK-UP, VOTING AND STANDSTILL AGREEMENT This AMENDMENT TO LOCK-UP, VOTING AND STANDSTILL AGREEMENT (this ?Amendment?), dated as of May 31, 2021, is entered into by and between Aterian, Inc., a Delaware corporation (f/k/a Mohawk Group Holdings, Inc.) (the ?Company?), and 9830 Macarthur LLC, a Wyoming limited liability company (the ?Stockholder?). WHEREAS, the Company and |
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| August 9, 2021 |
Exhibit 99.1 Aterian Reports Second Quarter 2021 Results Quarterly Net Revenue Grew 14% Year-Over-Year to $68 Million Company is focused on steps to reduce the impact from the global shipping crisis NEW YORK, August 9, 2021 ? Aterian, Inc. (Nasdaq: ATER) (?Aterian? or the ?Company?) today announced results for the second quarter ended June 30, 2021. Aterian was formerly named Mohawk Group Holdings |
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| August 9, 2021 |
Exhibit 99.3 ATERIAN, INC. UNAUDITED PRO FORMA CONDENSED, CONSOLIDATED, AND COMBINED FINANCIAL INFORMATION Unaudited Pro Forma Condensed, Consolidated, and Combined Financial Information as of and for the Six-Months Ended June 30, 2021. On February 3, 2021, Aterian, Inc. (the ?Company?, ?Aterian? or ?ATER?), formerly known as Mohawk Group Holdings, Inc., filed with the Securities and Exchange Comm |
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| August 9, 2021 |
Lock-Up Agreement, dated as of May 31, 2021, by and between the Registrant and Yaniv Sarig. Exhibit 10.17 LOCK-UP AGREEMENT This Lock-Up Agreement (as amended, restated, supplemented or otherwise modified in accordance with Section 10.3, this ?Agreement?) is made and entered into as of May 31, 2021 by and between Aterian, Inc., a Delaware corporation (the ?Company?), and Yaniv Sarig (the ?Stockholder?). RECITALS Whereas, all of the shares of the Company?s common stock, $0.0001 par value |
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| August 9, 2021 |
Financial Statements and Exhibits, Results of Operations and Financial Condition UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT PURSUANT TO SECTION 13 or 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 Date of Report (Date of earliest event reported): August 9, 2021 Aterian, Inc. (Exact Name of Registrant as Specified in its Charter) Delaware 001-38937 83-1739858 (State or Other Jurisdiction of Incorporation) (Commission File Numbe |
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| July 30, 2021 |
Submission of Matters to a Vote of Security Holders UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT PURSUANT TO SECTION 13 or 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 Date of Report (Date of earliest event reported): July 29, 2021 Aterian, Inc. (Exact Name of Registrant as Specified in its Charter) Delaware 001-38937 83-1739858 (State or Other Jurisdiction of Incorporation) (Commission File Number |
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| July 7, 2021 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT PURSUANT TO SECTION 13 or 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 Date of Report (Date of earliest event reported): June 30, 2021 Aterian, Inc. (Exact Name of Registrant as Specified in its Charter) Delaware 001-38937 83-1739858 (State or Other Jurisdiction of Incorporation) (Commission File Number |
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| July 7, 2021 |
Aterian Announces Fabrice Hamaide’s Departure Joe Risico to head European M&A in the interim Exhibit 99.1 Aterian Announces Fabrice Hamaide?s Departure Joe Risico to head European M&A in the interim New York, July 7, 2021 ? Aterian, Inc. (Nasdaq: ATER) (?Aterian? or the ?Company?) announced today that effective June 30, 2021, Fabrice Hamaide?s contract with the Company terminated. Mr. Hamaide served as General Manager and Head of M&A, Europe. ?I want to thank Fabrice for his service to At |
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| June 29, 2021 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 SCHEDULE 14A INFORMATION Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No. ?) Filed by the Registrant ? Filed by a Party other than the Registrant ?? Check the appropriate box: ?? Preliminary Proxy Statement ?? Confidential, for Use of the Commission Only (as permitted by Rule 14a- |
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| June 16, 2021 |
EX-10.2 3 d127095dex102.htm EX-10.2 Exhibit 10.2 June 10, 2021 Aterian, Inc. 37 East 18th Street, 7th Floor New York, New York 10003 Attn: Yaniv Sarig, President and Chief Executive Officer Dear Yaniv: This letter (the “Agreement”) constitutes the agreement between A.G.P./Alliance Global Partners (the “Placement Agent”) and Aterian, Inc., a Delaware corporation (the “Company”), that the Placement |
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| June 16, 2021 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT PURSUANT TO SECTION 13 or 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 Date of Report (Date of earliest event reported): June 10, 2021 Aterian, Inc. (Exact Name of Registrant as Specified in its Charter) Delaware 001-38937 83-1739858 (State or Other Jurisdiction of Incorporation) (Commission File Number |
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| June 16, 2021 |
Exhibit 10.1 SECURITIES PURCHASE AGREEMENT This Securities Purchase Agreement (this ?Agreement?) is dated as of June 10, 2021, between Aterian, Inc., a Delaware corporation (the ?Company?), and each purchaser identified on the signature pages hereto (each, including its successors and assigns, a ?Purchaser? and collectively, the ?Purchasers?). WHEREAS, subject to the terms and conditions set forth |
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| June 16, 2021 |
Aterian Announces Pricing of $40 Million Private Placement EX-99.1 4 d127095dex991.htm EX-99.1 Exhibit 99.1 Aterian Announces Pricing of $40 Million Private Placement NEW YORK, June 10, 2021 (GLOBE NEWSWIRE) — Aterian, Inc. (Nasdaq: ATER) (“Aterian” or the “Company”) announced today that it has entered into a securities purchase agreement with several institutional investors for a private placement of the Company’s common stock (the “Private Placement”). |
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| June 15, 2021 |
Aterian, Inc. 12,785,537 Shares of Common Stock 424B3 1 d180508d424b3.htm 424B3 Table of Contents Filed Pursuant to Rule 424(b)(3) Registration No. 333-256635 Prospectus Aterian, Inc. 12,785,537 Shares of Common Stock This prospectus relates to the resale by the investors listed in the section of this prospectus entitled “Selling Stockholders” (the “Selling Stockholders”) of up to 12,785,537 shares (the “Shares”) of our common stock, par value |
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| June 11, 2021 |
Aterian, Inc. 37 E. 18th St, 7th Fl New York, NY 10003 June 11, 2021 VIA EDGAR United States Securities and Exchange Commission Division of Corporation Finance 100 F Street, N.E. Washington, D.C. 20549-0406 Re: Aterian, Inc. Registration Statement on Form S-1 Registration No. 333-256635 Ladies and Gentlemen: Pursuant to Rule 461 under the Securities Act of 1933, as amended, Aterian, Inc. (the ?Com |
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| June 1, 2021 |
Financial Statements and Exhibits, Other Events UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT PURSUANT TO SECTION 13 or 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 Date of Report (Date of earliest event reported): June 1, 2021 Aterian, Inc. (Exact Name of Registrant as Specified in its Charter) Delaware 001-38937 83-1739858 (State or Other Jurisdiction of Incorporation) (Commission File Number) |
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| June 1, 2021 |
Exhibit 99.1 Aterian Announces Voluntary Lock-up Agreements with CEO, Other Co-Founders & Key Stockholders A Total of 3,807,222 Shares Will Be Locked Up Through December 1, 2021; and all CEO Shares Will Be Locked Up Through January 1, 2022 New York, June 1, 2021 ? Aterian, Inc. (Nasdaq: ATER) (?Aterian? or the ?Company?) announced today that certain stockholders (the ?Stockholders?) have voluntari |
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| May 28, 2021 |
Exhibit 99.1 ATERIAN, INC. UNAUDITED PRO FORMA CONDENSED, CONSOLIDATED, AND COMBINED FINANCIAL INFORMATION Unaudited Pro Forma Condensed, Consolidated, and Combined Financial Information for the Year-Ended December 31, 2020. On December 1, 2020, Aterian, Inc. (the ?Company?, ?Aterian? or ?ATER?), formerly known as Mohawk Group Holdings, Inc., filed with the Securities and Exchange Commission (the |
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| May 28, 2021 |
Exhibit 99.2 ATERIAN, INC. UNAUDITED PRO FORMA CONDENSED, CONSOLIDATED, AND COMBINED FINANCIAL INFORMATION Unaudited Pro Forma Condensed, Consolidated, and Combined Financial Information as of and for the Three Months Ended March 31, 2021. On February 3, 2021, Aterian, Inc. (the ?Company?, ?Aterian? or ?ATER?), formerly known as Mohawk Group Holdings, Inc., filed with the Securities and Exchange C |
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| May 28, 2021 |
As filed with the Securities and Exchange Commission on May 28, 2021. Table of Contents As filed with the Securities and Exchange Commission on May 28, 2021. |
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| May 28, 2021 |
As filed with the Securities and Exchange Commission on May 28, 2021 As filed with the Securities and Exchange Commission on May 28, 2021 Registration No. |
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| May 28, 2021 |
Amended and Restated Aterian, Inc. 2019 Equity Plan. EX-10.7 3 d180508dex107.htm EX-10.7 Exhibit 10.7 AMENDED AND RESTATED ATERIAN, INC. 2019 EQUITY PLAN Plan Document Adopted by the Board of Directors: March 20, 2019 1. General. (a) Purpose. Aterian, Inc. (the “Company”) hereby establishes this “Amended and Restated Aterian, Inc. 2019 Equity Plan” (this “Plan”). This Plan is intended: (i) to retain the best available personnel to ensure the Company |
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| May 28, 2021 |
Amended and Restated 2018 Equity Incentive Plan. Exhibit 4.2 AMENDED AND RESTATED ATERIAN, INC. 2018 EQUITY INCENTIVE PLAN Plan Document Adopted by the Board of Directors: October 11, 2018 Approved by the Stockholders: May 24, 2019 Termination Date: October 11, 2028 1. General. (a) Purpose. Aterian, Inc. (the ?Company?) hereby establishes this ?Amended and Restated Aterian, Inc. 2018 Equity Incentive Plan? (this ?Plan?). This Plan is intended: ( |
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| May 28, 2021 |
List of Subsidiaries of the Registrant Exhibit 21.1 List of Subsidiaries of Aterian, Inc. Name of Subsidiary Jurisdiction Aterian Group, Inc. Delaware Xtava LLC Delaware Sunlabz LLC Delaware RIF6 LLC Delaware Vremi LLC Delaware hOmelabs LLC Delaware Vidazen LLC Delaware Urban Source LLC Delaware Zephyr Beauty LLC Delaware Discocart LLC Delaware Vueti LLC Delaware Punched LLC Delaware SweetHomeDealz LLC Delaware KitchenVox LLC Delaware |
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| May 14, 2021 |
Financial Statements and Exhibits UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K/A (Amendment No. 1) CURRENT REPORT PURSUANT TO SECTION 13 or 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 Date of Report (Date of earliest event reported): November 30, 2020 Aterian, Inc. (Exact Name of Registrant as Specified in its Charter) Delaware 001-38937 83-1739858 (State or Other Jurisdiction of Incorporation) |
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| May 14, 2021 |
ATERIAN, INC. UNAUDITED PRO FORMA CONDENSED, CONSOLIDATED, AND COMBINED FINANCIAL INFORMATION Exhibit 99.4 ATERIAN, INC. UNAUDITED PRO FORMA CONDENSED, CONSOLIDATED, AND COMBINED FINANCIAL INFORMATION Unaudited Pro Forma Condensed, Consolidated, and Combined Financial Information as of and for the Nine Months Ended September 30, 2020 and for the Year-Ended December 31, 2019. On December 1, 2020, Aterian, Inc. (the ?Company?, ?Aterian? or ?ATER?), formerly known as Mohawk Group Holdings, In |
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| May 14, 2021 |
Exhibit 99.2 9830 MacArthur, LLC & Subsidiaries Ecommerce Business Under the Brands Mueller, Pursteam, Pohl and Schmitt and Spiralizer COMBINED CARVE-OUT FINANCIAL STATEMENTS For the Years Ended December 31, 2019 and 2018 9830 MacArthur, LLC & Subsidiaries Table of Contents For the Years Ended December 31, 2019 and 2018 INDEPENDENT AUDITORS? REPORT 1-2 COMBINED CARVE-OUT BALANCE SHEETS 3 COMBINED |
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| May 14, 2021 |
Exhibit 99.3 9830 MacArthur LLC & Subsidiaries Ecommerce Business Under the Brands Mueller, Pursteam, Pohl and Schmitt and Spiralizer COMBINED CARVE-OUT FINANCIAL STATEMENTS For the Nine Months Ended September 30, 2020 and 2019 9830 MacArthur, LLC & Subsidiaries Table of Contents For the Nine months ended September 30, 2020 and 2019 INDEPENDENT ACCOUNTANTS? REVIEW REPORT 1 COMBINED CARVE-OUT BALAN |
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| May 11, 2021 |
Consulting Agreement, dated May 5, 2021, by and between Aterian Group, Inc. and Jeff Ela. Exhibit 10.4 CONSULTING AGREEMENT This Consulting Agreement (this ?Agreement?) is entered into by and between Aterian Group, Inc. (?Service Recipient?), and Jeff Ela (referred to herein as ?Consultant?) dated effective as of May 5, 2021 (the ?Effective Date?). 1. Consulting Relationship. During the term of this Agreement, Consultant will provide the consulting services (the ?Services?) to Service |
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| May 11, 2021 |
Consulting Agreement, dated May 5, 2021, by and between Aterian Group, Inc. and Bernie Kropfelder. Exhibit 10.2 CONSULTING AGREEMENT This Consulting Agreement (this ?Agreement?) is entered into by and between Aterian Group, Inc. (?Service Recipient?), and Bernie Kropfelder (referred to herein as ?Consultant?) dated effective as of May 5, 2021 (the ?Effective Date?). 1. Consulting Relationship. During the term of this Agreement, Consultant will provide the consulting services (the ?Services?) to |
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| May 11, 2021 |
Shareholder Agreement, dated May 5, 2021, by and between Aterian, Inc. and Josef Eitan Exhibit 10.6 SHAREHOLDER AGREEMENT THIS SHAREHOLDER AGREEMENT (as amended, restated, supplemented or otherwise modified in accordance with Section 10.3, this ?Agreement?) is made and entered into as of May 5, 2021 by and between Aterian, Inc., a Delaware corporation (the ?Company?), and Josef Eitan (the ?Stockholder?). RECITALS WHEREAS, pursuant to that certain Stock Purchase Agreement, dated as o |
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| May 11, 2021 |
Exhibit 2.1 ASSET PURCHASE AGREEMENT among ATERIAN, INC. and TRUWEO, LLC as Purchaser and SQUATTY POTTY, LLC as Seller and EDWARDS SP HOLDINGS, LLC, TEAM LINDSEY, LLC, SLEKT INVESTMENTS, LLC, SACHS CAPITAL FUND II, LLC, SACHS CAPITAL-SQUATTY, LLC AND BEVEL ACQUISITION II, LLC as Key Owners Dated Effective as of May 5, 2021 ARTICLE I DEFINITIONS 1 Section 1.1 Certain Defined Terms 1 ARTICLE II PURC |
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| May 11, 2021 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 12b-25 NOTIFICATION OF LATE FILING SEC File Number: 001-38937 CUSIP Number: 02156U 101 (Check One): ? Form 10-K ? Form 20-F ? Form 11-K ? Form 10-Q ? Form 10-D ? Form N-CEN ? Form N-CSR For Period Ended: March 31, 2021 ? Transition Report on Form 10-K ? Transition Report on Form 20-F ? Transition Report on Form 11-K ? Tra |
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| May 11, 2021 |
Consulting Agreement, dated May 5, 2021, by and between Aterian Group, Inc. and Tani Alger. Exhibit 10.3 CONSULTING AGREEMENT This Consulting Agreement (this ?Agreement?) is entered into by and between Aterian Group, Inc. (?Service Recipient?), and Tani Alger (referred to herein as ?Consultant?) dated effective as of May 5, 2021 (the ?Effective Date?). 1. Consulting Relationship. During the term of this Agreement, Consultant will provide the consulting services (the ?Services?) to Servic |
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| May 11, 2021 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT PURSUANT TO SECTION 13 or 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 Date of Report (Date of earliest event reported): May 5, 2021 Aterian, Inc. (Exact Name of Registrant as Specified in its Charter) Delaware 001-38937 83-1739858 (State or Other Jurisdiction of Incorporation) (Commission File Number) |
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| May 11, 2021 |
Exhibit 2.2 STOCK PURCHASE AGREEMENT among ATERIAN, INC. and TRUWEO, LLC as Purchaser and PHOTO PAPER DIRECT LTD as Company and JOSEF EITAN As Seller and RAN NIR As Beneficial Owner Dated as of May 5, 2021 SCHEDULES Schedule 1.01-AAA Acquired Amazon Accounts Schedule 1.01-MDE Measurement Date EBITDA Schedule 1.01-TAP Transaction Accounting Principles Schedule 2.06(a) Transaction Expenses Schedule |
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| May 11, 2021 |
Transition Services Agreement, dated May 5, 2021, by and between Squatty Potty, LLC and Truweo, LLC. Exhibit 10.5 TRANSITION SERVICES AGREEMENT This TRANSITION SERVICES AGREEMENT (as amended, restated, supplemented or otherwise modified in accordance with Section 13.05 hereof, this ?Agreement?), dated effective as of May 5, 2021 (the ?Effective Date?), is made and entered into between Squatty Potty, LLC, a Delaware limited liability company (?Service Provider?), and Truweo, LLC, a Delaware limite |
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| May 11, 2021 |
Shareholder Agreement, dated May 5, 2021, by and between Aterian, Inc. and Ran Nir. Exhibit 10.7 SHAREHOLDER AGREEMENT THIS SHAREHOLDER AGREEMENT (as amended, restated, supplemented or otherwise modified in accordance with Section 10.3, this ?Agreement?) is made and entered into as of May 5, 2021 by and between Aterian, Inc., a Delaware corporation (the ?Company?), and Ran Nir (the ?Stockholder?). RECITALS WHEREAS, pursuant to that certain Stock Purchase Agreement, dated as of ev |
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| May 11, 2021 |
Exhibit 10.1 VOTING AND STANDSTILL AGREEMENT This VOTING AND STANDSTILL AGREEMENT (as amended, restated, supplemented or otherwise modified in accordance with Section 9.3, this ?Agreement?) is made and entered into effective as of May 5, 2021 by and between Aterian, Inc., a Delaware corporation (the ?Company?), and Squatty Potty, LLC, a Delaware limited liability company (the ?Stockholder?). RECIT |
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| May 11, 2021 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 FORM 10-Q (Mark One) ? QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended March 31, 2021 OR ? TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 Commission File Number: 001-38937 Aterian, Inc. |
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| May 6, 2021 |
Financial Statements and Exhibits, Results of Operations and Financial Condition 8-K 1 d324173d8k.htm FORM 8-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT PURSUANT TO SECTION 13 or 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 Date of Report (Date of earliest event reported): May 6, 2021 Aterian, Inc. (Exact Name of Registrant as Specified in its Charter) Delaware 001-38937 83-1739858 (State or Other Jurisdiction of Incorporat |
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| May 6, 2021 |
Exhibit 99.1 Aterian Reports First Quarter 2021 Results Quarterly Net Revenue Grew 88% Year-Over-Year to $48.1 Million Announces Acquisition of Squatty Potty, a Leading Health & Wellness Brand Announces Closing of Previously Disclosed Photo Paper Direct Acquisition Company Raises 2021 Net Revenue Outlook Range to $360 Million?$390 Million NEW YORK, May 6, 2021 ? Aterian, Inc. (Nasdaq: ATER) (?Ater |
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| May 5, 2021 |
Financial Statements and Exhibits, Other Events UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT PURSUANT TO SECTION 13 or 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 Date of Report (Date of earliest event reported): May 5, 2021 Aterian, Inc. (Exact Name of Registrant as Specified in its Charter) Delaware 001-38937 83-1739858 (State or Other Jurisdiction of Incorporation) (Commission File Number) |
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| May 5, 2021 |
Aterian Issues Statement on Inaccurate and Misleading Report by Culper Research Exhibit 99.1 Aterian Issues Statement on Inaccurate and Misleading Report by Culper Research NEW YORK, May 5, 2021 ? Aterian, Inc. (Nasdaq: ATER) (?Aterian? or the ?Company?) today issued the following statement in response to a report issued on May 4, 2021, by self-proclaimed short seller Culper Research: A recent report by Culper Research contains numerous false and misleading statements about o |
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| April 30, 2021 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT PURSUANT TO SECTION 13 or 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 Date of Report (Date of earliest event reported): April 29, 2021 Aterian, Inc. (Exact Name of Registrant as Specified in its Charter) Delaware 001-38937 83-1739858 (State or Other Jurisdiction of Incorporation) (Commission File Numbe |
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| April 30, 2021 |
Certificate of Amendment to Amended and Restated Certificate of Incorporation of Aterian, Inc. Exhibit 3.1 CERTIFICATE OF AMENDMENT OF AMENDED AND RESTATED CERTIFICATE OF INCORPORATION OF MOHAWK GROUP HOLDINGS, INC. Mohawk Group Holdings, Inc., a corporation organized and existing under the laws of the State of Delaware (the ?Corporation?), does hereby certify that: FIRST: The name of the Corporation is Mohawk Group Holdings, Inc. The Corporation filed its original Certificate of Incorporat |
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| April 30, 2021 |
Second Amended and Restated Bylaws of Aterian, Inc. Exhibit 3.3 SECOND AMENDED AND RESTATED BYLAWS OF ATERIAN, INC. (a Delaware corporation) TABLE OF CONTENTS Page ARTICLE I - CORPORATE OFFICES 1 1.1 REGISTERED OFFICE 1 1.2 OTHER OFFICES 1 ARTICLE II - MEETINGS OF STOCKHOLDERS 1 2.1 PLACE OF MEETINGS 1 2.2 ANNUAL MEETING 1 2.3 SPECIAL MEETING 1 2.4 ADVANCE NOTICE PROCEDURES FOR BUSINESS BROUGHT BEFORE A MEETING 2 2.5 ADVANCE NOTICE PROCEDURES FOR N |
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| April 30, 2021 |
Mohawk Group Announces Rebrand as Aterian EX-99.1 Exhibit 99.1 Mohawk Group Announces Rebrand as Aterian Company Rebrands and Furthers Its Mission to Build the Leading Tech-Enabled Consumer Products Platform NEW YORK, April 29, 2021 — Mohawk Group Holdings, Inc. (Nasdaq: MWK) (the “Company”) today announced that it will be rebranded as Aterian, Inc. (Nasdaq: ATER) (“Aterian”), effective 12:01 a.m. Eastern on April 30, 2021. As the Company |
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| April 30, 2021 |
Exhibit 3.2 STATE OF DELAWARE CERTIFICATE OF CORRECTION Mohawk Group Holdings, Inc., a corporation organized and existing under and by virtue of the General Corporation Law of the State of Delaware. DOES HEREBY CERTIFY: 1. The name of the corporation is Mohawk Group Holdings, Inc. . 2. That a Certificate of Amendment (Title of Certificate Being Corrected) was filed by the Secretary of State of Del |
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| April 29, 2021 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-K/A (Amendment No. 1) (Mark One) ? ANNUAL REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the fiscal year ended December 31, 2020 OR ? TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 FOR THE TRANSITION PERIOD FROM TO Commission File Number 001-3 |
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| April 20, 2021 |
Financial Statements and Exhibits UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K/A (Amendment No. 1) CURRENT REPORT PURSUANT TO SECTION 13 or 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 Date of Report (Date of earliest event reported): February 2, 2021 Mohawk Group Holdings, Inc. (Exact Name of Registrant as Specified in its Charter) Delaware 001-38937 83-1739858 (State or Other Jurisdiction of I |
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| April 20, 2021 |
Exhibit 99.3 MOHAWK GROUP HOLDINGS, INC. UNAUDITED PRO FORMA CONDENSED, CONSOLIDATED, AND COMBINED FINANCIAL INFORMATION Unaudited Pro Forma Condensed, Consolidated, and Combined Financial Information as of and for the Year-Ended December 31, 2020. On February 3, 2021, Mohawk Group Holdings, Inc. (the ?Company?, ?Mohawk? or ?MGHI?) filed with the Securities and Exchange Commission (the ?SEC?) a Cu |
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| April 20, 2021 |
Exhibit 99.2 HEALING SOLUTIONS, LLC FINANCIAL STATEMENTS Year Ended December 31, 2020 HEALING SOLUTIONS, LLC FINANCIAL STATEMENTS Year Ended December 31, 2020 CONTENTS Pages INDEPENDENT AUDITORS? REPORT 1-2 FINANCIAL STATEMENTS Balance Sheet 3 Statement of Operations and Changes in Member?s Equity 4 Statement of Cash Flows 5 Notes to Financial Statements 11-18 HEALING SOLUTIONS, LLC NOTES TO FINAN |
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| April 9, 2021 |
Amendment to Warrant to Purchase Common Stock issued on February 2, 2021, dated as of April 8, 2021. Exhibit 4.3 SECOND AMENDMENT TO WARRANT TO PURCHASE COMMON STOCK This SECOND AMENDMENT TO WARRANT TO PURCHASE COMMON STOCK (this ?Amendment?) is made and entered into as of April 8, 2021, by and between Mohawk Group Holdings, Inc., a Delaware corporation (the ?Company?), and High Trail Investments ON LLC (the ?Holder?). RECITALS WHEREAS, the Company has issued that certain Warrant to Purchase Comm |
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| April 9, 2021 |
Exhibit 10.3 April 8, 2021 High Trail Investments SA LLC High Trail Investments ON LLC 221 River Street, 9th Floor Hoboken, NJ 07030 Attention: Eric Helenek Re: Waiver of Certain Rights Ladies and Gentlemen: Reference is made to that certain (i) Securities Purchase Agreement, dated February 2, 2021, between Mohawk Group Holdings, Inc. (the ?Company?) and High Trail Investments ON LLC (?High Trail |
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| April 9, 2021 |
Mohawk Group Closes Previously Announced Debt Refinancing EX-99.1 Exhibit 99.1 Mohawk Group Closes Previously Announced Debt Refinancing NEW YORK, April 9, 2021 Mohawk Group Holdings, Inc. (Nasdaq: MWK) (“Mohawk” or the “Company”) today announced that it has closed the refinancing of all of its previously outstanding debt, including two senior secured notes and its revolver credit facility. The Company previously announced its intent to refinance its out |
