SEC Form 4 · accession 0001140361-17-041448

AQUANTIA CORP · AQ

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

Reporting owners

CISCO SYSTEMS, INC.

10% Owner

Cisco Systems International B.V.

10% Owner

Period of report

Nov 7, 2017

Accepted (ET)

Nov 7, 2017 · 5:16 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,F8	Nov 7, 2017	C	243,635	—	A	243,635	I	see footnote
Common Stock^F2,F8	Nov 7, 2017	C	46,505	—	A	46,505	I	see footnote
Common Stock^F3,F8	Nov 7, 2017	C	187,311	—	A	187,311	I	see footnote
Common Stock^F4,F8	Nov 7, 2017	C	93,191	—	A	93,191	I	see footnote
Common Stock^F5,F8	Nov 7, 2017	C	53,879	—	A	53,879	I	see footnote
Common Stock^F6,F8	Nov 7, 2017	C	21,749	—	A	21,749	I	see footnote
Common Stock^F7,F9	Nov 7, 2017	C	26,506	—	A	26,506	D

Table II — derivative securities

Security	Conv. / exercise price	Date	Code	Shares	A/D	Exercisable	Expires	Underlying	Underlying shares	D/I
Series A Convertible Preferred Stock^F1,F8	—	Nov 7, 2017	C	2,436,351	D	—	—	Common Stock	243,635	I
Series B Convertible Preferred Stock^F2,F8	—	Nov 7, 2017	C	465,056	D	—	—	Common Stock	46,505	I
Series D Convertible Preferred Stock^F3,F8	—	Nov 7, 2017	C	1,873,110	D	—	—	Common Stock	187,311	I
Series E Convertible Preferred Stock^F4,F8	—	Nov 7, 2017	C	931,914	D	—	—	Common Stock	93,191	I
Series F Convertible Preferred Stock^F5,F8	—	Nov 7, 2017	C	538,793	D	—	—	Common Stock	53,879	I
Series G Convertible Preferred Stock^F6,F8	—	Nov 7, 2017	C	217,490	D	—	—	Common Stock	21,749	I
Series H Convertible Preferred Stock^F7,F9	—	Nov 7, 2017	C	265,064	D	—	—	Common Stock	26,506	D

Explanation of responses

F1On November 7, 2017, each ten (10) shares of Series A Convertible Preferred Stock automatically converted into one share of Issuer's Common Stock for no additional consideration. The Series A Convertible Preferred Stock had no expiration date.
F2On November 7, 2017, each ten (10) shares of Series B Convertible Preferred Stock automatically converted into one share of Issuer's Common Stock for no additional consideration. The Series B Convertible Preferred Stock had no expiration date.
F3On November 7, 2017, each ten (10) shares of Series D Convertible Preferred Stock automatically converted into one share of Issuer's Common Stock for no additional consideration. The Series D Convertible Preferred Stock had no expiration date.
F4On November 7, 2017, each ten (10) shares of Series E Convertible Preferred Stock automatically converted into one share of Issuer's Common Stock for no additional consideration. The Series E Convertible Preferred Stock had no expiration date.
F5On November 7, 2017, each ten (10) shares of Series F Convertible Preferred Stock automatically converted into one share of Issuer's Common Stock for no additional consideration. The Series F Convertible Preferred Stock had no expiration date.
F6On November 7, 2017, each ten (10) shares of Series G Convertible Preferred Stock automatically converted into one share of Issuer's Common Stock for no additional consideration. The Series G Convertible Preferred Stock had no expiration date.
F7On November 7, 2017, each ten (10) shares of Series H Convertible Preferred Stock automatically converted into one share of Issuer's Common Stock for no additional consideration. The Series H Convertible Preferred Stock had no expiration date.
F8Cisco Systems International B.V. (Cisco International B.V.) directly beneficially owns the reported securities. Cisco Systems, Inc. (Cisco) is the sole owner of the outstanding securities of Cisco International B.V. and as such may be deemed to be an indirect beneficial owner of the reported securities. Except to the extent of any indirect pecuniary interest therein, Cisco disclaims beneficial ownership of the securities beneficially owned by Cisco International B.V. Cisco Systems International B.V.
F9Cisco directly beneficially owns the reported securities.

Remarks

Following the closing of the Issuer's initial public offering, the Reporting Persons expect that the securities reported herein will represent beneficial ownership of the Issuer of less than 5%.