SEC Form 4 · accession 0001209191-16-148503

QUANTENNA COMMUNICATIONS INC · QTNA

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

Reporting owner

Fahri Diner

Director

Period of report

Nov 2, 2016

Accepted (ET)

Nov 4, 2016 · 7:51 pm EDT

Rule 10b5-1 plan

unknown — predates the checkbox

Issuer CIK

0001370702

Table I — non-derivative securities

Security	Date	Code	Shares	Price	A/D	Owned after	D/I	Nature of ownership
Common Stock^F1,F2	Nov 2, 2016	C	42,718	—	A	42,718	I	See footnote
Common Stock^F3,F2	Nov 2, 2016	C	10,022	—	A	52,740	I	See footnote
Common Stock^F4,F2	Nov 2, 2016	C	42,756	—	A	95,496	I	See footnote
Common Stock^F5,F2	Nov 2, 2016	C	24,332	—	A	119,828	I	See footnote
Common Stock^F6,F2	Nov 2, 2016	C	15,908	—	A	135,736	I	See footnote
Common Stock^F7,F2	Nov 2, 2016	C	3,812	—	A	139,548	I	See footnote
Common Stock^F2	Nov 2, 2016	P	1,027	$16.00	A	140,575	I	See footnote
Common Stock^F1,F9	Nov 2, 2016	C	8,003	—	A	8,003	I	See footnote
Common Stock^F3,F9	Nov 2, 2016	C	1,931	—	A	9,934	I	See footnote
Common Stock^F4,F9	Nov 2, 2016	C	8,322	—	A	18,256	I	See footnote
Common Stock^F5,F9	Nov 2, 2016	C	4,777	—	A	23,033	I	See footnote
Common Stock^F6,F9	Nov 2, 2016	C	3,245	—	A	26,278	I	See footnote
Common Stock^F7,F9	Nov 2, 2016	C	806	—	A	27,084	I	See footnote
Common Stock^F9	Nov 2, 2016	P	218	$16.00	A	27,302	I	See footnote
Common Stock^F1,F10	Nov 2, 2016	C	659,401	—	A	659,401	I	See footnote
Common Stock^F3,F10	Nov 2, 2016	C	162,476	—	A	821,877	I	See footnote
Common Stock^F4,F10	Nov 2, 2016	C	700,123	—	A	1,522,000	I	See footnote
Common Stock^F5,F10	Nov 2, 2016	C	410,488	—	A	1,932,488	I	See footnote
Common Stock^F6,F10	Nov 2, 2016	C	276,674	—	A	2,209,162	I	See footnote
Common Stock^F7,F10	Nov 2, 2016	C	69,263	—	A	2,278,425	I	See footnote
Common Stock^F10	Nov 2, 2016	P	18,725	$16.00	A	2,297,150	I	See footnote

Table II — derivative securities

Security	Conv. / exercise price	Date	Code	Shares	A/D	Exercisable	Expires	Underlying	Underlying shares	D/I
Series B Preferred Stock^F2,F1	—	Nov 2, 2016	C	22,097	D	—	—	Common Stock	42,718	I
Series B Preferred Stock^F9,F1	—	Nov 2, 2016	C	4,140	D	—	—	Common Stock	8,003	I
Series B Preferred Stock^F10,F1	—	Nov 2, 2016	C	341,093	D	—	—	Common Stock	659,401	I
Series C Preferred Stock^F2,F3	—	Nov 2, 2016	C	5,065	D	—	—	Common Stock	10,022	I
Series C Preferred Stock^F9,F3	—	Nov 2, 2016	C	976	D	—	—	Common Stock	1,931	I
Series C Preferred Stock^F10,F3	—	Nov 2, 2016	C	82,107	D	—	—	Common Stock	162,475	I
Series D Preferred Stock^F2,F4	—	Nov 2, 2016	C	42,756	D	—	—	Common Stock	42,756	I
Series D Preferred Stock^F9,F4	—	Nov 2, 2016	C	8,322	D	—	—	Common Stock	8,322	I
Series D Preferred Stock^F10,F4	—	Nov 2, 2016	C	700,123	D	—	—	Common Stock	700,123	I
Series E Preferred Stock^F2,F5	—	Nov 2, 2016	C	24,332	D	—	—	Common Stock	24,332	I
Series E Preferred Stock^F9,F5	—	Nov 2, 2016	C	4,777	D	—	—	Common Stock	4,777	I
Series E Preferred Stock^F10,F5	—	Nov 2, 2016	C	410,488	D	—	—	Common Stock	410,488	I
Series F-1 Preferred Stock^F2,F6	—	Nov 2, 2016	C	15,908	D	—	—	Common Stock	15,908	I
Series F-1 Preferred Stock^F9,F6	—	Nov 2, 2016	C	3,245	D	—	—	Common Stock	3,245	I
Series F-1 Preferred Stock^F10,F6	—	Nov 2, 2016	C	276,674	D	—	—	Common Stock	276,674	I
Series G Preferred Stock^F2,F7	—	Nov 2, 2016	C	3,812	D	—	—	Common Stock	3,812	I
Series G Preferred Stock^F9,F7	—	Nov 2, 2016	C	806	D	—	—	Common Stock	806	I
Series G Preferred Stock^F10,F7	—	Nov 2, 2016	C	69,263	D	—	—	Common Stock	69,263	I

Explanation of responses

F1The Series B Preferred Stock automatically converted into Common Stock on a 1.9332015399022:1 basis immediately prior to the closing of the Issuer's initial public offering and had no expiration date.
F10Shares held by Sigma Partners 7, L.P., of which Sigma Management 7, L.L.C. is the general partner. Robert E. Davoli, Fahri Diner, Lawrence G. Finch, Gregory Gretsch, John Mandile, Peter Solvik, Robert Spinner and Wade Woodson are the managing members of Sigma Management 7, L.L.C. and share voting and investment power with respect to the shares held by Sigma Partners 7, L.P.
F2Shares held by Sigma Associates 7, L.P., of which Sigma Management 7, L.L.C. is the general partner. Robert E. Davoli, Fahri Diner, Lawrence G. Finch, Gregory Gretsch, John Mandile, Peter Solvik, Robert Spinner and Wade Woodson are the managing members of Sigma Management 7, L.L.C. and share voting and investment power with respect to the shares held by Sigma Associates 7, L.P.
F3The Series C Preferred Stock automatically converted into Common Stock on a 1.97882655585238:1 basis immediately prior to the closing of the Issuer's initial public offering and had no expiration date.
F4The Series D Preferred Stock automatically converted into Common Stock on a 1:1 basis immediately prior to the closing of the Issuer's initial public offering and had no expiration date.
F5The Series E Preferred Stock automatically converted into Common Stock on a 1:1 basis immediately prior to the closing of the Issuer's initial public offering and had no expiration date.
F6The Series F-1 Preferred Stock automatically converted into Common Stock on a 1:1 basis immediately prior to the closing of the Issuer's initial public offering and had no expiration date.
F7The Series G Preferred Stock automatically converted into Common Stock on a 1:1 basis immediately prior to the closing of the Issuer's initial public offering and had no expiration date.
F8Represents a purchase from the underwriters pursuant to participation in the directed share program in connection with the initial public offering of the Issuer's Common Stock.
F9Shares held by Sigma Investors 7, L.P., of which Sigma Management 7, L.L.C. is the general partner. Robert E. Davoli, Fahri Diner, Lawrence G. Finch, Gregory Gretsch, John Mandile, Peter Solvik, Robert Spinner and Wade Woodson are the managing members of Sigma Management 7, L.L.C. and share voting and investment power with respect to the shares held by Sigma Investors 7, L.P.