SEC Form 4 · accession 0001209191-18-040518

AQUANTIA CORP · AQ

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

Table I — non-derivative securities

Table II — derivative securities

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.
• F3Shares held by Pinnacle Ventures Management I, LLC, Pinnacle Ventures Management II, LLC, Pinnacle Ventures Equity Management I, LLC, Pinnacle Venture I(Q) Equity Holdings, LLC, and Pinnacle Ventures II Equity Holdings LLC(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 Pinnacle Entities and, as such, is deemed to have sole voting and dispositive power with respect to the shares held by the Pinnacle Entities. Also included shares held by the Pelowski/Mirek Living Trust which Mr. Pelowski and Ms. Mirek are co-trustees of the Pelowski/Mirek Living Trust and may be deemed to share voting and dispositive power over the shares held by the trust. Each of the trust and Mr. Pelowski disclaims beneficial ownership of such shares except to the extent of any pecuniary interest therein.