SEC Form 4 · accession 0000899243-17-025860

AQUANTIA CORP · AQ

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

Reporting owner

Lip Bu Tan

Director · 10% Owner

Period of report

Nov 7, 2017

Accepted (ET)

Nov 9, 2017 · 6:43 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,F2,F3	Nov 7, 2017	C	2,240,632	—	A	2,720,632	I	See Footnote

Table II — derivative securities

Security	Conv. / exercise price	Date	Code	Shares	A/D	Exercisable	Expires	Underlying	Underlying shares	D/I
Series A Preferred Stock^F3,F1,F4	—	Nov 7, 2017	C	1,784,317	D	—	—	Common Stock	178,430	I
Series B Preferred Stock^F3,F1,F5	—	Nov 7, 2017	C	773,594	D	—	—	Common Stock	77,357	I
Series D Preferred Stock^F3,F1,F6	—	Nov 7, 2017	C	6,742,484	D	—	—	Common Stock	674,247	I
Series E Preferred Stock^F3,F1,F7	—	Nov 7, 2017	C	8,665,227	D	—	—	Common Stock	866,521	I
Series F Preferred Stock^F3,F1,F8	—	Nov 7, 2017	C	549,005	D	—	—	Common Stock	54,899	I
Series G Preferred Stock^F3,F1,F9	—	Nov 7, 2017	C	398,787	D	—	—	Common Stock	39,877	I
Series H Preferred Stock^F3,F1,F10	—	Nov 7, 2017	C	3,493,011	D	—	—	Common Stock	349,301	I

Explanation of responses

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.
F10The reportable securities are directly owned by WRV.
F2The reportable securities include 1,868,084 shares directly owned by WRV II, L.P ("WRV II"), 639,573 shares directly owned by Walden Riverwood Ventures, L.P. ("WRV") and 212,975 shares directly owned by A&E Investment, LLC ("A&E").
F3The Reporting Person is a member of the investment committee of the general partner of each of WRV II and WRV, and is a co-trustee of the sole member of A&E. The Reporting Person may be deemed to share voting and dispositive power with respect to the securities held by WRV II, WRV and A&E and disclaims beneficial ownership of such securities except for the Reporting Person's pecuniary interest therein.
F4The reportable securities include 112,221 shares directly owned by WRV II, 56,110 shares directly owned by WRV and 10,099 shares directly owned by A&E.
F5The reportable securities include 48,653 shares directly owned by WRV II, 24,326 shares directly owned by WRV and 4,378 shares directly owned by A&E.
F6The reportable securities include 507,579 shares directly owned by WRV II, 141,244 shares directly owned by WRV and 25,424 shares directly owned by A&E.
F7The reportable securities include 663,425 shares directly owned by WRV II, 40,489 shares directly owned by WRV and 162,607 shares directly owned by A&E.
F8The reportable securities include 34,528 shares directly owned by WRV II, 17,264 shares directly owned by WRV and 3,107 shares directly owned by A&E.
F9The reportable securities include 21,678 shares directly owned by WRV II, 10,839 shares directly owned by WRV and 7,360 shares directly owned by A&E.