SEC Form 4 · accession 0001209191-17-060037

AQUANTIA CORP · AQ

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

Reporting owner

Director

Period of report

Nov 7, 2017

Accepted (ET)

Nov 9, 2017 · 5:18 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	185,774	—	A	185,774	D
Common Stock	holding	—	—		—	58,823	I	By: The Srinivasan Family Trust dated 07/07/1992

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	359,108	D	—	—	Common Stock	35,910	D
Series B Preferred Stock^F1	—	Nov 7, 2017	C	155,692	D	—	—	Common Stock	15,569	D
Series D Preferred Stock^F1	—	Nov 7, 2017	C	903,965	D	—	—	Common Stock	90,396	D
Series E Preferred Stock^F1	—	Nov 7, 2017	C	259,135	D	—	—	Common Stock	25,913	D
Series F Preferred Stock^F1	—	Nov 7, 2017	C	110,491	D	—	—	Common Stock	11,049	D
Series G Preferred Stock^F1	—	Nov 7, 2017	C	69,372	D	—	—	Common Stock	6,937	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.