SEC Form 4 · accession 0001209191-18-040499
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
Jun 29, 2018
Accepted (ET)
Jul 2, 2018 · 7:21 pm EDT
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 | Jun 29, 2018 | A | 5,181 | $0.00 | A | 18,528 | D | |
| Common StockF3 | holding | — | — | — | 2,720,632 | 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 on the first anniversary from grant date, subject to the reporting person's continued service on the board of directors on each vest date.
- F3The reportable securities shares directly owned by WRV II, L.P.("WRV II"), Walden Riverwood Ventures, L.P.("WRV") and A&E Investment, LLC. 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.