SEC Form 4 · accession 0001209191-18-057395
AQUANTIA CORP · AQ
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Mark Voll
Officer — CHIEF FINANCIAL OFFICER
Period of report
Nov 5, 2018
Accepted (ET)
Nov 6, 2018 · 4:25 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 stock | Nov 5, 2018 | M | 1,467 | $7.10 | A | 46,595 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Stock option (right to buy)F1 | $7.10 | Nov 5, 2018 | M | 1,467 | D | — | Apr 26, 2027 | Common stock | 1,467 | 23,544 | D |
Explanation of responses
- F1The original option, representing a right to purchase a total of 29,999 shares, were exercisable as of October 26, 2017, subject to a repurchase right in the Issuer's favor which lapses in accordance with the option's vesting schedule. This option vests with respect to one quarter (1/4) of the shares of stock which are subject to this option on January 1, 2018. The remaining shares vest in thirty-six (36) equal monthly installments beginning on February 1, 2018, subject to the Reporting Person providing continuous service to the Issuer on each such date.