SEC Form 4 · accession 0000899243-17-025840
AQUANTIA CORP · AQ
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Rusnano
10% Owner
Period of report
Nov 7, 2017
Accepted (ET)
Nov 9, 2017 · 6:27 pm EST
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001316016
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common StockF1 | Nov 7, 2017 | C | 2,833,685 | — | A | 2,833,685 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Series F Preferred StockF1 | — | Nov 7, 2017 | C | 26,939,655 | D | — | — | Common Stock | 2,693,965 | 0 | D |
| Series G Preferred StockF1 | — | Nov 7, 2017 | C | 1,397,204 | D | — | — | Common Stock | 139,720 | 0 | D |
Explanation of responses
- F1The Series F Preferred Stock and Series G Preferred Stock have no expiration date and automatically converted into Common Stock on a 1:10 basis immediately prior to the closing of the Issuer's initial public offering.