4//SEC Filing
Pelowski Ken 4
Accession 0000899243-17-025849
CIK 0001316016other
Filed
Nov 8, 7:00 PM ET
Accepted
Nov 9, 6:35 PM ET
Size
50.0 KB
Accession
0000899243-17-025849
Insider Transaction Report
Form 4
Pelowski Ken
Director10% Owner
Transactions
- Conversion
Series B Preferred Stock
2017-11-07−4,650,563→ 0 total(indirect: See Footnote)→ Common Stock (465,051 underlying) - Conversion
Common Stock Warrant (Right to Buy)
2017-11-07+64,655→ 64,655 total(indirect: See Footnote)Exercise: $9.28From: 2013-04-05Exp: 2023-04-05→ Common Stock (64,655 underlying) - Conversion
Common Stock Warrant (Right to Buy)
2017-11-07+64,012→ 64,012 total(indirect: See Footnote)Exercise: $14.31From: 2014-12-16Exp: 2024-12-16→ Common Stock (64,012 underlying) - Conversion
Common Stock
2017-11-07+2,584,265→ 2,584,265 total(indirect: See Footnote) - Conversion
Series A Preferred Stock
2017-11-07−334,998→ 0 total(indirect: See Footnote)→ Common Stock (33,493 underlying) - Conversion
Series D Preferred Warrant (Right to Buy)
2017-11-07−420,168→ 0 total(indirect: See Footnote)Exercise: $0.67From: 2009-11-16Exp: 2019-11-16→ Series D Preferred Stock (420,168 underlying) - Conversion
Series D Preferred Stock
2017-11-07−15,455,494→ 0 total(indirect: See Footnote)→ Common Stock (1,545,540 underlying) - Conversion
Series F Preferred Stock
2017-11-07−538,787→ 0 total(indirect: See Footnote)→ Common Stock (53,876 underlying) - Conversion
Series G Preferred Warrant (Right to Buy)
2017-11-07−640,129→ 0 total(indirect: See Footnote)Exercise: $1.43From: 2014-12-16Exp: 2024-12-16→ Series G Preferred Stock (640,129 underlying) - Conversion
Series E Preferred Stock
2017-11-07−3,944,552→ 0 total(indirect: See Footnote)→ Common Stock (394,449 underlying) - Conversion
Series D Preferred Warrant (Right to Buy)
2017-11-07−405,164→ 0 total(indirect: See Footnote)Exercise: $0.67From: 2008-03-10Exp: 2018-03-09→ Series D Preferred Stock (405,164 underlying) - Conversion
Series F Preferred Warrant (Right to Buy)
2017-11-07−646,551→ 0 total(indirect: See Footnote)Exercise: $0.93From: 2013-04-05Exp: 2023-04-05→ Series F Preferred Stock (646,551 underlying) - Conversion
Common Stock Warrant (Right to Buy)
2017-11-07+40,516→ 40,516 total(indirect: See Footnote)Exercise: $6.66From: 2008-03-10Exp: 2018-03-09→ Common Stock (40,516 underlying) - Conversion
Common Stock Warrant (Right to Buy)
2017-11-07+42,016→ 42,016 total(indirect: See Footnote)Exercise: $6.66From: 2009-11-16Exp: 2019-11-16→ Common Stock (42,016 underlying) - Conversion
Series G Preferred Stock
2017-11-07−918,594→ 0 total(indirect: See Footnote)→ Common Stock (91,856 underlying) - Conversion
Series B Preferred Warrant (Right to Buy)
2017-11-07−31,973→ 0 total(indirect: See Footnote)Exercise: $2.15From: 2008-03-10Exp: 2018-03-09→ Series B Preferred Stock (31,973 underlying) - Conversion
Common Stock Warrant (Right to Buy)
2017-11-07+3,197→ 3,197 total(indirect: See Footnote)Exercise: $21.50From: 2008-03-10Exp: 2018-03-09→ Common Stock (3,197 underlying)
Footnotes (17)
- [F1]The Series A Preferred Stock, Series B Preferred Stock, Series D Preferred Stock, Series E Preferred Stock, Series F Preferred Stock and Series G Preferred Stock have no expiration date and automatically converted into Common Stock on a 1:10 basis immediately prior to the closing of the Issuer's initial public offering.
- [F10]The Issuer's Preferred Stock warrants automatically converted into warrants to purchase Common Stock immediately prior to the closing of the Issuer's initial public offering without payment or further consideration. The transaction is listed solely for the purpose of reporting the change in the shares underlying the warrants.
- [F11]The reportable securities include 21,422 shares directly owned by PVIA, 211 shares directly owned by PVIIEH and 10,340 shares directly owned by PVI(Q)EH.
- [F12]The reportable securities include 2,674 shares directly owned by PVIA, 271,460 shares directly owned by PVIIEH and 131,030 shares directly owned by PVI(Q)EH.
- [F13]The reportable securities include 2,773 shares directly owned by PVIA, 281,513 shares directly owned by PVIIEH and 135,882 shares directly owned by PVI(Q)EH.
- [F14]The reportable securities are directly owned by PVIIEH.
- [F15]The reportable securities include 2,142 shares directly owned by PVIA, 21 shares directly owned by PVIIEH and 1,034 shares directly owned by PVI(Q)EH.
- [F16]The reportable securities include 267 shares directly owned by PVIA, 27,146 shares directly owned by PVIIEH and 13,103 shares directly owned by PVI(Q)EH.
- [F17]The reportable securities include 277 shares directly owned by PVIA, 28,151 shares directly owned by PVIIEH and 13,588 shares directly owned by PVI(Q)EH.
- [F2]The reportable securities include 7,675 shares directly owned by Pinnacle Ventures I Affiliates, L.P. ("PVIA"), 95,621 shares directly owned by Pinnacle Ventures I-A (Q), L.P. ("PVI-A(Q)"), 279,303 shares directly owned by Pinnacle Ventures I-B, L.P. ("PVI-B"), 27 shares directly owned by Pinnacle Ventures Management I, L.L.C. ("PVM I"), 15,575 shares directly owned by Pinnacle Ventures II-A, L.P. ("PVII-A"), 654,460 shares directly owned by Pinnacle Ventures II-B, L.P. ("PVII-B"), 54,535 shares directly owned by Pinnacle Ventures II-C, L.P. ("PVII-C"), 54,535 shares directly owned by Pinnacle Ventures II-R, L.P. ("PVII-R"), 4 shares directly owned by Pinnacle Ventures Management II, L.L.C. ("PVM II"), 782,394 shares directly owned by Pinnacle Ventures Equity Fund I, L.P. ("PVEF I"), 569,012 shares directly owned by Pinnacle Ventures Equity Fund I-O, L.P. ("PVEF I-O") and 71,124 shares directly owned by Pinnacle Ventures Equity Fund I Affiliates, L.P. ("PVEFIA").
- [F3]PVIA, PVI-A(Q), PVI-B, PVM I, PVII-A, PVII-B, PVII-C, PVII-R, PVM II, PVEF I, PVEF I-O, PVEFIA, Pinnacle Ventures II Equity Holdings, L.L.C. ("PVIIEH") and Pinnacle Ventures I (Q) Equity Holdings, L.L.C. ("PVI(Q)EH") (collectively, the "Pinnacle Entities") are managed by general partner limited liability companies. Ken Pelowski is either the sole or controlling managing member of each such limited liability company and, as such, is deemed to have sole voting and dispositive power with respect to the shares held by the Pinnacle Entities. Mr. Pelowski disclaims beneficial ownership of such shares except to the extent of any pecuniary interest therein.
- [F4]The reportable securities include 221 shares directly owned by PVIA, 2,735 shares directly owned by PVI-A(Q), 8,069 shares directly owned by PVI-B, 27 shares directly owned by PVM I, 444 shares directly owned by PVII-A, 18,853 shares directly owned by PVII-B, 1,570 shares directly owned by PVII-C, 1,570 shares directly owned by PVII-R and 4 shares directly owned by PVM II.
- [F5]The reportable securities include 306 shares directly owned by PVIA, 3,836 shares directly owned by PVI-A(Q), 11,203 shares directly owned by PVI-B, 623 shares directly owned by PVII-A, 26,173 shares directly owned by PVII-B, 2,181 shares directly owned by PVII-C, 2,181 shares directly owned by PVII-R, 230,202 shares directly owned by PVEF I, 167,419 shares directly owned by PVEF I-O and 20,927 shares directly owned by PVEFIA.
- [F6]The reportable securities include 5,337 shares directly owned by PVIA, 66,726 shares directly owned by PVI-A(Q), 194,842 shares directly owned by PVI-B, 10,837 shares directly owned by PVII-A, 455,201 shares directly owned by PVII-B, 37,932 shares directly owned by PVII-C, 37,932 shares directly owned by PVII-R, 405,204 shares directly owned by PVEF I, 294,693 shares directly owned by PVEF I-O and 36,836 shares directly owned by PVEFIA.
- [F7]The reportable securities include 1,420 shares directly owned by PVIA, 17,758 shares directly owned by PVI-A(Q), 51,856 shares directly owned by PVI-B, 2,884 shares directly owned by PVII-A, 121,149 shares directly owned by PVII-B, 10,095 shares directly owned by PVII-C, 10,095 shares directly owned by PVII-R, 98,556 shares directly owned by PVEF I, 71,677 shares directly owned by PVEF I-O and 8,959 shares directly owned by PVEFIA.
- [F8]The reportable securities include 89 shares directly owned by PVIA, 1,122 shares directly owned by PVI-A(Q), 3,277 shares directly owned by PVI-B, 182 shares directly owned by PVII-A, 7,656 shares directly owned by PVII-B, 638 shares directly owned by PVII-C, 638 shares directly owned by PVII-R, 22,151 shares directly owned by PVEF I, 16,110 shares directly owned by PVEF I-O and 2,013 shares directly owned by PVEFIA.
- [F9]The reportable securities include 302 shares directly owned by PVIA, 3,444 shares directly owned by PVI-A(Q), 10,056 shares directly owned by PVI-B, 605 shares directly owned by PVII-A, 25,428 shares directly owned by PVII-B, 2,119 shares directly owned by PVII-C, 2,119 shares directly owned by PVII-R, 26,281 shares directly owned by PVEF I, 19,113 shares directly owned by PVEF I-O and 2,389 shares directly owned by PVEFIA.
Documents
Issuer
AQUANTIA CORP
CIK 0001316016
Entity typeother
Related Parties
1- filerCIK 0001721262
Filing Metadata
- Form type
- 4
- Filed
- Nov 8, 7:00 PM ET
- Accepted
- Nov 9, 6:35 PM ET
- Size
- 50.0 KB