SEC Form 4 · accession 0001209191-17-064782
AQUANTIA CORP · AQ
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Lip Bu Tan
Director · 10% Owner
Period of report
Nov 3, 2017
Accepted (ET)
Dec 8, 2017 · 5:21 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 | Nov 3, 2017 | A | 10,000 | $9.00 | A | 13,347 | D | |
| Common stockF2 | holding | — | — | — | 2,720,632 | I | See footnote |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1Shares purchased through participation of the Directed Share Program offered by our underwriters at the time of the IPO.
- F2The reportable securities include 1,868,084 shares directly owned by WRV II, L.P. ("WRV II"), 639,573 shares directly owned by Walden Riverwood Ventures, L.P. ("WRV") and 212,975 shares directly owned by A&E Investment, LLC ("A&E"). The reporting person is a member of the investment committee of the general partner of each of WRV II and WRV, and is a co-trustee of the sole member of A&E. The reporting person may be deemed to share voting and dispositive power with respect to the securities held by WRV II, WRV and A&E and disclaims beneficial ownership of such securities except for the reporting person's pecuniary interest therein.