SEC Form 4 · accession 0001209191-19-005128
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
Jan 22, 2019
Accepted (ET)
Jan 24, 2019 · 4:04 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 | Jan 22, 2019 | M | 16,250 | $13.06 | A | 56,504 | D | |
| Common Stock | Jan 22, 2019 | S | 16,250 | $14.00 | D | 40,254 | D | |
| Common Stock | Jan 23, 2019 | M | 156 | $3.00 | A | 40,410 | D | |
| Common Stock | Jan 23, 2019 | S | 156 | $14.00 | D | 40,254 | D |
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 | $13.06 | Jan 22, 2019 | M | 16,250 | D | — | Jan 10, 2028 | Common Stock | 16,250 | 48,750 | D |
| Employee Stock Option (right to buy)F3 | $3.00 | Jan 23, 2019 | M | 156 | D | — | Dec 3, 2025 | Common Stock | 156 | 1,716 | 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.
- F2One-fourth (1/4) of the shares subject to the option vested on January 10, 2019, 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.
- F3One 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.