SEC Form 4 · accession 0001209191-17-063597
AQUANTIA CORP · AQ
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Ken Pelowski
Director · 10% Owner
Period of report
Nov 30, 2017
Accepted (ET)
Dec 4, 2017 · 4:58 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 StockF1,F2 | Nov 30, 2017 | A | 3,347 | $0.00 | A | 3,347 | D | |
| Common StockF3 | holding | — | — | — | 2,584,265 | I | See Footnote |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1The security represents restricted stock units granted pursuant to the issuer's non-employee director compensation policy.
- F2The share underlying these restricted stock units vests over an eight month period monthly, subject to the reporting person's continued service on the board of directors on each vest date.
- F3Shares held by PVIA, PVI-A(Q), PVI-B, PVM I, PVII-A, PVII-B, PVII-C, PVII-R, PVM II, PVEF I, PVEF I-O, PVEFIA, Pinnacle Ventures II Equity Holdings, L.L.C. and Pinnacle Ventures I (Q) Equity Holdings, L.L.C. (collectively, the "Pinnacle Entities"), which are managed by general partner limited liability companies. Ken Pelowski is either the sole or controlling managing member of each such limited liability company and, as such, is deemed to have sole voting and dispositive power with respect to the shares held by the Pinnacle Entities. Mr. Pelowski disclaims beneficial ownership of such shares except to the extent of any pecuniary interest therein.