SEC Form 4 · accession 0001209191-17-060022

AQUANTIA CORP · AQ

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

Reporting owner

Officer — President and CEO · Director

Period of report

Nov 7, 2017

Accepted (ET)

Nov 9, 2017 · 5:10 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	17,413	I	By: Farajollah Aalaei 2000 Irrevocable Trust
Common Stock	holding	—	—		—	638,460	I	By: Farajollah Aalaei Living Trust dated January 14, 2000
Common Stock	holding	—	—		—	663,461	I	By: Lindenwood Trust dated 8/13/2014
Common Stock	holding	—	—		—	5,000	I	By: Cyrus Akbarpour, as Custodian for Dena Aalaei
Common Stock	holding	—	—		—	5,000	I	By: Dariush Aalaei
Common Stock	holding	—	—		—	5,000	I	By: Ali A. Aalaei
Common Stock	holding	—	—		—	50,000	I	By: Dena Aalaei 2007 Irrevocable Trust

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	I
Series B Preferred Stock^F1	—	Nov 7, 2017	C	14,596	D	—	—	Common Stock	1,459	I
Series D Preferred Stock^F1	—	Nov 7, 2017	C	84,747	D	—	—	Common Stock	8,474	I
Series E Preferred Stock^F1	—	Nov 7, 2017	C	24,294	D	—	—	Common Stock	2,429	I
Series F Preferred Stock^F1	—	Nov 7, 2017	C	10,359	D	—	—	Common Stock	1,035	I
Series G Preferred Stock^F1	—	Nov 7, 2017	C	6,503	D	—	—	Common Stock	650	I

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.