SEC Form 4 · accession 0001209191-16-148511
QUANTENNA COMMUNICATIONS INC · QTNA
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owners
VENROCK ENTREPRENEURS FUND IV L P
10% Owner
VENROCK ASSOCIATES IV L P
10% Owner
Venrock Management IV, LLC
10% Owner
Venrock Partners, L.P.
10% Owner
Venrock Partners Management, LLC
10% Owner
VEF Management IV, LLC
10% Owner
Period of report
Nov 2, 2016
Accepted (ET)
Nov 4, 2016 · 7:57 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 StockF1,F2,F3,F4,F5,F6,F7,F8 | Nov 2, 2016 | C | 608,340 | — | A | 608,340 | I | See footnote |
| Common StockF1,F2,F3,F4,F5,F6,F7,F9 | Nov 2, 2016 | C | 138,696 | — | A | 747,036 | I | See footnote |
| Common StockF1,F2,F3,F4,F5,F6,F7,F10 | Nov 2, 2016 | C | 186,644 | — | A | 933,680 | I | See footnote |
| Common StockF1,F2,F3,F4,F5,F6,F7,F11 | Nov 2, 2016 | C | 805,625 | — | A | 1,739,305 | I | See footnote |
| Common StockF1,F2,F3,F4,F5,F6,F7,F12 | Nov 2, 2016 | C | 469,779 | — | A | 2,209,084 | I | See footnote |
| Common StockF1,F2,F3,F4,F5,F6,F7,F13 | Nov 2, 2016 | C | 383,634 | — | A | 2,592,718 | I | See footnote |
| Common StockF1,F2,F3,F4,F5,F6,F7,F14 | Nov 2, 2016 | C | 60,551 | — | A | 2,653,269 | I | See footnote |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Series A Preferred StockF15,F16,F1 | — | Nov 2, 2016 | C | 322,411 | D | — | — | Common Stock | 608,340 | 0 | I |
| Series B Preferred StockF17,F16,F2 | — | Nov 2, 2016 | C | 71,744 | D | — | — | Common Stock | 138,696 | 0 | I |
| Series C Preferred StockF18,F16,F3 | — | Nov 2, 2016 | C | 94,321 | D | — | — | Common Stock | 186,644 | 0 | I |
| Series D Preferred StockF19,F16,F4 | — | Nov 2, 2016 | C | 805,625 | D | — | — | Common Stock | 805,625 | 0 | I |
| Series E Preferred StockF20,F16,F5 | — | Nov 2, 2016 | C | 469,779 | D | — | — | Common Stock | 469,779 | 0 | I |
| Series F-1 Preferred StockF21,F16,F6 | — | Nov 2, 2016 | C | 383,634 | D | — | — | Common Stock | 383,634 | 0 | I |
| Series G Preferred StockF22,F16,F7 | — | Nov 2, 2016 | C | 60,551 | D | — | — | Common Stock | 60,551 | 0 | I |
Explanation of responses
- F1The Series A Preferred Stock automatically converted into Common Stock on a 1.8868501529052:1 basis immediately prior to the closing of the Issuer's initial public offering and had no expiration date.
- F10Consists of an aggregate of 760,021 shares of Common Stock held by Venrock IV, 154,989 shares of Common Stock held by Venrock Partners, and 18,670 shares of Common Stock held by Venrock Entrepreneurs. VM4, VPM and VEFM4 disclaim beneficial ownership over all shares held by Venrock IV, Venrock Partners and Venrock Entrepreneurs, except to the extent of their indirect pecuniary interests therein.
- F11Consists of an aggregate of 1,415,801 shares of Common Stock held by Venrock IV, 288,723 shares of Common Stock held by Venrock Partners, and 34,781 shares of Common Stock held by Venrock Entrepreneurs. VM4, VPM and VEFM4 disclaim beneficial ownership over all shares held by Venrock IV, Venrock Partners and Venrock Entrepreneurs, except to the extent of their indirect pecuniary interests therein.
- F12Consists of an aggregate of 1,798,202 shares of Common Stock held by Venrock IV, 366,706 shares of Common Stock held by Venrock Partners, and 44,176 shares of Common Stock held by Venrock Entrepreneurs. VM4, VPM and VEFM4 disclaim beneficial ownership over all shares held by Venrock IV, Venrock Partners and Venrock Entrepreneurs, except to the extent of their indirect pecuniary interests therein.
- F13Consists of an aggregate of 2,110,481 shares of Common Stock held by Venrock IV, 430,389 shares of Common Stock held by Venrock Partners, and 51,848 shares of Common Stock held by Venrock Entrepreneurs. VM4, VPM and VEFM4 disclaim beneficial ownership over all shares held by Venrock IV, Venrock Partners and Venrock Entrepreneurs, except to the extent of their indirect pecuniary interests therein.
- F14Consists of an aggregate of 2,159,770 shares of Common Stock held by Venrock IV, 440,440 shares of Common Stock held by Venrock Partners, and 53,059 shares of Common Stock held by Venrock Entrepreneurs. VM4, VPM and VEFM4 disclaim beneficial ownership over all shares held by Venrock IV, Venrock Partners and Venrock Entrepreneurs, except to the extent of their indirect pecuniary interests therein.
- F15Consisted of an aggregate of 262,443 shares of Series A Preferred Stock held by Venrock IV, 53,520 shares of Series A Preferred Stock held by Venrock Partners, and 6,448 shares of Series A Preferred Stock held by Venrock Entrepreneurs. VM4, VPM and VEFM4 disclaim beneficial ownership over all shares held by Venrock IV, Venrock Partners and Venrock Entrepreneurs, except to the extent of their indirect pecuniary interests therein.
- F16The sole general partner of Venrock IV is Venrock Management IV, LLC ("VM4"). The sole general partner of Venrock Partners is Venrock Partners Management, LLC ("VPM"). The sole general partner of Venrock Entrepreneurs is VEF Management IV, LLC ("VEFM4").
- F17Consisted of an aggregate of 58,401 shares of Series B Preferred Stock held by Venrock IV, 11,909 shares of Series B Preferred Stock held by Venrock Partners, and 1,434 shares of Series B Preferred Stock held by Venrock Entrepreneurs. VM4, VPM and VEFM4 disclaim beneficial ownership over all shares held by Venrock IV, Venrock Partners and Venrock Entrepreneurs, except to the extent of their indirect pecuniary interests therein.
- F18Consisted of an aggregate of 76,778 shares of Series C Preferred Stock held by Venrock IV, 15,657 shares of Series C Preferred Stock held by Venrock Partners, and 1,886 shares of Series C Preferred Stock held by Venrock Entrepreneurs. VM4, VPM and VEFM4 disclaim beneficial ownership over all shares held by Venrock IV, Venrock Partners and Venrock Entrepreneurs, except to the extent of their indirect pecuniary interests therein.
- F19Consisted of an aggregate of 655,780 shares of Series D Preferred Stock held by Venrock IV, 133,734 shares of Series D Preferred Stock held by Venrock Partners, and 16,111 shares of Series D Preferred Stock held by Venrock Entrepreneurs. VM4, VPM and VEFM4 disclaim beneficial ownership over all shares held by Venrock IV, Venrock Partners and Venrock Entrepreneurs, except to the extent of their indirect pecuniary interests therein.
- F2The 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.
- F20Consisted of an aggregate of 382,401 shares of Series E Preferred Stock held by Venrock IV, 77,983 shares of Series E Preferred Stock held by Venrock Partners, and 9,395 shares of Series E Preferred Stock held by Venrock Entrepreneurs. VM4, VPM and VEFM4 disclaim beneficial ownership over all shares held by Venrock IV, Venrock Partners and Venrock Entrepreneurs, except to the extent of their indirect pecuniary interests therein.
- F21Consisted of an aggregate of 312,279 shares of Series F-1 Preferred Stock held by Venrock IV, 63,683 shares of Series F-1 Preferred Stock held by Venrock Partners, and 7,672 shares of Series F-1 Preferred Stock held by Venrock Entrepreneurs. VM4, VPM and VEFM4 disclaim beneficial ownership over all shares held by Venrock IV, Venrock Partners and Venrock Entrepreneurs, except to the extent of their indirect pecuniary interests therein.
- F22Consisted of an aggregate of 49,289 shares of Series G Preferred Stock held by Venrock IV, 10,051 shares of Series G Preferred Stock held by Venrock Partners, and 1,211 shares of Series G Preferred Stock held by Venrock Entrepreneurs. VM4, VPM and VEFM4 disclaim beneficial ownership over all shares held by Venrock IV, Venrock Partners and Venrock Entrepreneurs, except to the extent of their indirect pecuniary interests therein.
- 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.
- F8Consists of an aggregate of 495,190 shares of Common Stock held by Venrock Associates IV, L.P. ("Venrock IV"), 100,984 shares of Common Stock held by Venrock Partners, L.P. ("Venrock Partners"), and 12,166 shares of Common Stock held by Venrock Entrepreneurs Fund IV,L.P. ("Venrock Entrepreneurs" and together with Venrock IV and Venrock Partners, the "Venrock Entities"). VM4, VPM and VEFM4 disclaim beneficial ownership over all shares held by Venrock IV, Venrock Partners and Venrock Entrepreneurs, except to the extent of their indirect pecuniary interests therein.
- F9Consists of an aggregate of 608,091 shares of Common Stock held by Venrock IV, 124,007 shares of Common Stock held by Venrock Partners, and 14,938 shares of Common Stock held by Venrock Entrepreneurs. VM4, VPM and VEFM4 disclaim beneficial ownership over all shares held by Venrock IV, Venrock Partners and Venrock Entrepreneurs, except to the extent of their indirect pecuniary interests therein.