SEC Form 4 · accession 0001209191-18-049985
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
Sep 4, 2018
Accepted (ET)
Sep 6, 2018 · 9:20 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 | Sep 4, 2018 | M | 2,500 | $1.50 | A | 65,254 | D | |
| Common Stock | Sep 4, 2018 | M | 2,004 | $8.50 | A | 67,258 | D | |
| Common Stock | Sep 4, 2018 | S | 4,504 | $19.00 | D | 62,754 | 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 | Sep 4, 2018 | M | 2,500 | D | — | Feb 5, 2023 | Common Stock | 2,500 | 45,304 | D |
| Employee Stock Option (right to buy)F3 | $8.50 | Sep 4, 2018 | M | 2,004 | D | — | Jun 30, 2026 | Common Stock | 2,004 | 32,992 | 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 June 30, 2017, 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.