| Accession Number: | 0001683168-21-000771 |
| Date: | 2021-03-01 |
| Issuer: | ATOMERA INC (ATOM) |
| Original Submission Date: |
TRAUTMANN ERWIN
C/O ATOMERA, INC.
750 UNIVERSITY AVENUE, SUITE 280
LOS GATOS, CA 95032
| Title of Security | Transaction Date | 2a. Deemed Execution Date | Transaction Code | Shares | Acquired or Disposed | Price per share | 5. Amount of Securities Beneficially Owned Following Reported Transaction | 6. Ownership Form Direct or Indirect | Nature of Indirect Ownership |
|---|---|---|---|---|---|---|---|---|---|
| COMMON STOCK | 2021-03-01 | S | 528 | d | $27.67 | 97,212 | direct | ||
| COMMON STOCK | 2021-03-01 | M | 12,000 | a | $7.01 | 109,212 | direct | ||
| COMMON STOCK | 2021-03-01 | S | 12,000 | d | $27.37 | 97 | direct |
| Title of Derivative Security | Conversion or Exercise Price of Derivative Security | Transaction Date | Deemed Execution Date | Transaction Code | Number of Derivative Securities Acquired (A) or Disposed of (D) | Date Exercisable | Expiration Date | Title and Amount of Securities Underlying Derivative Security | Price of Derivative Security | Number of derivative Securities Beneficially Owned Following Reported Transaction(s) | Ownership Form: Direct (D) or Indirect (I) | Nature of Indirect Beneficial Ownership |
|---|---|---|---|---|---|---|---|---|---|---|---|---|
| STOCK OPTIONS (RIGHT TO BUY) | 7.01 | 2021-03-01 | deemed execution date | M | 12,000 (d) | 2017-09-01 | 2027-03-20 | common stock 12,000 | $7.01 | 12,169 | direct |
| ID | footnote |
|---|---|
| f1 | represents the number of shares sold by the reporting person to cover tax withholding obligations in connection with the vesting of restricted stock grants that were previously reported. this sale is to satisfy mandatory non-discretionary tax withholding obligations by a "sell to cover" transaction. |
| f2 | the option exercise reported in this form 4 was effected pursuant to a rule 10b5-1 trading plan adopted by the reporting person and exercised from a previously reported total. |
| f3 | the sale reported in this form 4 was effected pursuant to a rule 10b5-1 trading plan adopted by the reporting person. |
