SEC Form 4 · accession 0001209191-18-056759

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

Oct 30, 2018

Accepted (ET)

Nov 1, 2018 · 4:13 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	Oct 30, 2018	M	9,268	$1.50	A	72,022	D
Common Stock	Oct 30, 2018	M	875	$2.00	A	72,897	D
Common Stock	Oct 30, 2018	M	469	$3.00	A	73,666	D
Common Stock^F2	Oct 30, 2018	S	6,815	$16.534	D	66,551	D
Common Stock^F3	Oct 30, 2018	S	3,797	$17.045	D	62,754	D
Common Stock	Oct 31, 2018	M	77	$8.50	A	62,831	D
Common Stock	Oct 31, 2018	S	77	$18.00	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)^F4	$1.50	Oct 30, 2018	M	9,268	D	—	Feb 5, 2023	Common Stock	9,268	26,768	D
Employee Stock Option (right to buy)^F5	$2.00	Oct 30, 2018	M	875	D	—	Dec 10, 2024	Common Stock	875	250	D
Employee Stock Option (right to buy)^F6	$3.00	Oct 30, 2018	M	469	D	—	Dec 3, 2025	Common Stock	469	2,497	D
Employee Stock Option (right to buy)^F7	$8.50	Oct 31, 2018	M	77	D	—	Jun 30, 2026	Common Stock	77	32,838	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.
F2This sale price represents the weighted average sale price of the shares sold ranging from $15.99 to $16.98 per share. Upon request by the Commission staff, the Issuer, or a security holder of the Issuer, the Reporting Person will provide full information regarding the number of shares sold at each separate price within the range set forth in this Form 4.
F3This sale price represents the weighted average sale price of the shares sold ranging from $16.99 to $17.33 per share. Upon request by the Commission staff, the Issuer, or a security holder of the Issuer, the Reporting Person will provide full information regarding the number of shares sold at each separate price within the range set forth in this Form 4.
F4The shares subject to the option are fully vested and exercisable.
F5One 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.
F6One 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.
F7One 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.