SEC Form 4 · accession 0001209191-18-024988
QUANTENNA COMMUNICATIONS INC · QTNA
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
David William Carroll
Officer — SVP Worldwide Sales
Period of report
Apr 12, 2018
Accepted (ET)
Apr 16, 2018 · 4:23 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 | Apr 12, 2018 | M | 3,337 | $1.50 | A | 41,612 | D | |
| Common Stock | Apr 12, 2018 | M | 260 | $2.00 | A | 41,872 | D | |
| Common Stock | Apr 12, 2018 | M | 269 | $3.00 | A | 42,141 | D | |
| Common Stock | Apr 12, 2018 | S | 3,866 | $14.00 | D | 38,275 | D | |
| Common Stock | holding | — | — | — | 500 | I | By Child of Reporting Person |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Employee Stock Option (right to buy)F2 | $1.50 | Apr 12, 2018 | M | 3,337 | D | — | Feb 5, 2023 | Common Stock | 3,337 | 112,862 | D |
| Employee Stock Option (right to buy)F3 | $2.00 | Apr 12, 2018 | M | 260 | D | — | Dec 10, 2024 | Common Stock | 260 | 4,782 | D |
| Employee Stock Option (right to buy)F4 | $3.00 | Apr 12, 2018 | M | 269 | D | — | Dec 3, 2025 | Common Stock | 269 | 6,328 | D |
Explanation of responses
- F1The sales reported on this Form 4 were effected pursuant to a Rule 10b5-1 automatic trading plan adopted by the Reporting Person.
- F2The shares subject to the option are fully vested and exercisable.
- F3One fourth (1/4) of the shares subject to the option vested on December 10, 2015, and one forty-eighth (1/48) of the shares vest monthly thereafter, subject to the Reporting Person's continued service on each such vesting date.
- F4One fourth (1/4) of the shares subject to the option vested on December 3, 2016, and one forty-eighth (1/48) of the shares vest monthly thereafter, subject to the Reporting Person's continued service on each such vesting date.