4//SEC Filing
Pelowski Ken 4
Accession 0000899243-18-007332
CIK 0001316016other
Filed
Mar 12, 8:00 PM ET
Accepted
Mar 13, 9:31 PM ET
Size
11.8 KB
Accession
0000899243-18-007332
Insider Transaction Report
Form 4
Pelowski Ken
Director10% Owner
Transactions
- Conversion
Common Stock
2018-03-09$6.66/sh+40,516$269,837→ 2,624,781 total(indirect: See Footnote) - Sale
Common Stock
2018-03-09$15.55/sh−17,362$269,979→ 2,607,419 total(indirect: See Footnote) - Conversion
Common Stock Warrant (Right to Buy)
2018-03-09−40,516→ 40,516 total(indirect: See Footnote)Exercise: $6.66From: 2008-03-10Exp: 2018-03-09→ Common Stock (40,516 underlying)
Holdings
- 3,347
Common Stock
Footnotes (5)
- [F1]On March 9, 2018, Pinnacle Ventures I Affiliates, L.P., Pinnacle Ventures II Equity Holdings, L.L.C. and Pinnacle Ventures I (Q) Equity Holdings, L.L.C. (collectively, the "Exercising Entities") exercised warrants to purchase a total of 40,516 shares of the Issuer's common stock for $6.66 a share. The Exercising Entities paid the exercise price on a cashless basis, resulting in the Issuer's withholding of 17,362 of the warrant shares to pay the exercise price and issuing to the Exercising Entities the remaining 23,154 shares.
- [F2]Represents securities held by Pinnacle Ventures I Affiliates, L.P., Pinnacle Ventures I-A (Q), L.P., Pinnacle Ventures I-B, L.P., Pinnacle Ventures Management I, L.L.C., Pinnacle Ventures II-A, L.P., Pinnacle Ventures II-B, L.P., Pinnacle Ventures II-C, L.P., Pinnacle Ventures II-R, L.P., Pinnacle Ventures Management II, L.L.C., Pinnacle Ventures Equity Fund I, L.P., Pinnacle Ventures Equity Fund I-O, L.P., Pinnacle Ventures Equity Fund I Affiliates, L.P., Pinnacle Ventures II Equity Holdings, L.L.C. and Pinnacle Ventures I (Q) Equity Holdings, L.L.C. (collectively, the "Pinnacle Entities"), which 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.
- [F3](Continued from Footnote 2) Mr. Pelowski disclaims beneficial ownership of such shares except to the extent of any pecuniary interest therein.
- [F4]These securities represent restricted stock units previously granted to the reporting person pursuant to the Issuer's non-employee director compensation policy.
- [F5]Represents 267 shares directly owned by Pinnacle Ventures I Affiliates, L.P., 27,146 shares directly owned by Pinnacle Ventures II Equity Holdings, L.L.C. and 13,103 shares directly owned by Pinnacle Ventures I (Q) Equity Holdings, L.L.C.
Documents
Issuer
AQUANTIA CORP
CIK 0001316016
Entity typeother
Related Parties
1- filerCIK 0001721262
Filing Metadata
- Form type
- 4
- Filed
- Mar 12, 8:00 PM ET
- Accepted
- Mar 13, 9:31 PM ET
- Size
- 11.8 KB