SEC Form 4 · accession 0000899243-18-025499
AQUANTIA CORP · AQ
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Ken Pelowski
Director
Period of report
Sep 13, 2018
Accepted (ET)
Sep 28, 2018 · 4:28 pm EDT
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001316016
Table I — non-derivative securities
No Table I lines on this filing.
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Common Stock Warrant (Right to Buy)F1,F2 | $14.31 | Sep 13, 2018 | S | 64,012 | D | Dec 16, 2014 | Dec 16, 2024 | Common Stock | 64,012 | 0 | I |
Explanation of responses
- F1The warrant was directly owned by Pinnacle Ventures II Equity Holdings, L.L.C. ("PVIIEH"). PVIIEH sold the warrant in a private transaction for $60,000, or approximately $0.9373 per share of underlying common stock.
- F2The general partner of PVIIEH is Pinnacle Ventures Management II, L.L.C. ("PVMII"). Mr. Pelowski is a controlling managing member of PVMII. Mr. Pelowski disclaims beneficial ownership of all such shares except to the extent of any pecuniary interest therein.