SEC Form 4 · accession 0001209191-17-060029

AQUANTIA CORP · AQ

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

Reporting owners

10% Owner

10% Owner

Period of report

Nov 7, 2017

Accepted (ET)

Nov 9, 2017 · 5:13 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	2,902,752	—	A	2,902,752	D

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	5,611,057	D	—	—	Common Stock	561,105	D
Series B Preferred Stock^F1	—	Nov 7, 2017	C	2,432,686	D	—	—	Common Stock	243,268	D
Series D Preferred Stock^F1	—	Nov 7, 2017	C	14,124,453	D	—	—	Common Stock	1,412,445	D
Series E Preferred Stock^F1	—	Nov 7, 2017	C	4,048,979	D	—	—	Common Stock	404,897	D
Series F Preferred Stock^F1	—	Nov 7, 2017	C	1,726,430	D	—	—	Common Stock	172,643	D
Series G Preferred Stock^F1	—	Nov 7, 2017	C	1,083,940	D	—	—	Common Stock	108,394	D

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.