SEC Form 4 · accession 0001209191-18-037701
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
Jun 12, 2018
Accepted (ET)
Jun 14, 2018 · 4:07 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 | Jun 12, 2018 | M | 11,676 | $1.50 | A | 75,951 | D | |
| Common Stock | Jun 12, 2018 | M | 474 | $2.00 | A | 76,425 | D | |
| Common Stock | Jun 12, 2018 | M | 396 | $3.00 | A | 76,821 | D | |
| Common Stock | Jun 12, 2018 | S | 12,546 | $17.00 | D | 64,275 | 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 | Jun 12, 2018 | M | 11,676 | D | — | Feb 5, 2023 | Common Stock | 11,676 | 78,108 | D |
| Employee Stock Option (right to buy)F3 | $2.00 | Jun 12, 2018 | M | 474 | D | — | Dec 10, 2024 | Common Stock | 474 | 3,125 | D |
| Employee Stock Option (right to buy)F4 | $3.00 | Jun 12, 2018 | M | 396 | D | — | Dec 3, 2025 | Common Stock | 396 | 4,842 | 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.