SEC Form 4 · accession 0000899243-17-025852

AQUANTIA CORP · AQ

Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗

Reporting owner

Officer — Chief Financial Officer

Period of report

Nov 7, 2017

Accepted (ET)

Nov 9, 2017 · 6:39 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 Stock^F1	Nov 7, 2017	C	17,413	—	A	40,140	D

Security	Conv. / exercise price	Date	Code	Shares	A/D	Exercisable	Expires	Underlying	Underlying shares	D/I
Series A Preferred Stock^F1	—	Nov 7, 2017	C	33,666	D	—	—	Common Stock	3,366	D
Series B Preferred Stock^F1	—	Nov 7, 2017	C	14,596	D	—	—	Common Stock	1,459	D
Series D Preferred Stock^F1	—	Nov 7, 2017	C	84,747	D	—	—	Common Stock	8,474	D
Series E Preferred Stock^F1	—	Nov 7, 2017	C	24,294	D	—	—	Common Stock	2,429	D
Series F Preferred Stock^F1	—	Nov 7, 2017	C	10,359	D	—	—	Common Stock	1,035	D
Series G Preferred Stock^F1	—	Nov 7, 2017	C	6,504	D	—	—	Common Stock	650	D

F1The Series A Preferred Stock, Series B Preferred Stock, Series D Preferred Stock, Series E Preferred Stock, 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.