SEC Form 4 · accession 0001209191-18-049076
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
Aug 30, 2018
Accepted (ET)
Aug 31, 2018 · 4:10 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 | Aug 30, 2018 | D | 20,000 | $12.4477 | D | 2,700,632 | I | See Footnote |
| Common STock | holding | — | — | — | 18,528 | D |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1These shares were sold in compliance with a trading plan adopted by A&E Investment, LLC pursuant to Rule 10b5-1 under the Securities Exchange Act of 1934, as amended. A&E Investment LLC's sole member is the Lip-Bu Tan and Ysa Loo Trust dated 2/3/1992 for which the Reporting Person is a co-trustee.
- F2The 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.