SEC Form 3 · accession 0001209191-17-058981
AQUANTIA CORP · AQ
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Kamal Dalmia
Officer — Sr VP, Sales and Marketing
Period of report
Nov 2, 2017
Accepted (ET)
Nov 2, 2017 · 6:40 pm EDT
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 | holding | — | — | — | 176,666 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Employee Stock Option (Right to Buy)F1 | $2.60 | holding | — | — | — | — | Jun 17, 2025 | Common Stock | 21,538 | — | D |
| Employee Stock Option (Right to Buy)F2 | $3.90 | holding | — | — | — | — | Sep 23, 2025 | Common Stock | 50,000 | — | D |
| Employee Stock Option (Right to Buy)F3 | $7.10 | holding | — | — | — | — | Apr 26, 2027 | Common Stock | 49,999 | — | D |
Explanation of responses
- F1All shares underlying this option are immediately exercisable, subject to a repurchase right in the Issuer's favor which lapses in accordance with the option's vesting schedule. 17,949 shares are vested. The remaining shares vest in a series of eight (8) equal monthly installments beginning on December 1, 2017, subject to the Reporting Person providing continuous service to the Issuer on each such date.
- F2All shares underlying this option are immediately exercisable, subject to a repurchase right in the Issuer's favor which lapses in accordance with the option's vesting schedule. 22,917 shares are vested. The remaining shares vest in a series of twenty-six (26) equal monthly installments beginning on December 1, 2017, subject to the Reporting Person providing continuous service to the Issuer on each such date.
- F3All shares underlying this option are immediately exercisable, subject to a repurchase right in the Issuer's favor which lapses in accordance with the option's vesting schedule. This option vests with respect to one quarter (1/4) of the shares of stock which are subject to this option on April 26, 2018. The remaining shares become exercisable in thirty-six (36) equal monthly installments beginning on May 26, 2018, subject to the Reporting Person providing continuous service to the Issuer on each such date.
Remarks
Exhibit List - Exhibit 24 - Power of Attorney