SEC Form 4 · accession 0001209191-18-061016
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
Nov 30, 2018
Accepted (ET)
Dec 4, 2018 · 6:01 pm EST
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 | Nov 30, 2018 | M | 5,839 | $1.50 | A | 68,593 | D | |
| Common Stock | Nov 30, 2018 | M | 125 | $2.00 | A | 68,718 | D | |
| Common Stock | Nov 30, 2018 | M | 353 | $3.00 | A | 69,071 | D | |
| Common StockF2 | Nov 30, 2018 | S | 6,317 | $14.958 | 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)F3 | $1.50 | Nov 30, 2018 | M | 5,839 | D | — | Feb 5, 2023 | Common Stock | 5,839 | 20,929 | D |
| Employee Stock Option (right to buy)F4 | $2.00 | Nov 30, 2018 | M | 125 | D | — | Dec 10, 2024 | Common Stock | 125 | 125 | D |
| Employee Stock Option (right to buy)F5 | $3.00 | Nov 30, 2018 | M | 353 | D | — | Dec 3, 2025 | Common Stock | 353 | 2,144 | 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 $14.70 to $15.05 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.
- F3The shares subject to the option are fully vested and exercisable.
- F4One 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.
- F5One 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.