Pelowski Ken 4
4 · AQUANTIA CORP · Filed Sep 14, 2018
Insider Transaction Report
Form 4
Pelowski Ken
Director10% Owner
Transactions
- Sale
Common Stock
2018-09-12$12.70/sh−10,221$129,807→ 154,425 total(indirect: See Footnotes)
Holdings
- 8,528
Common Stock
Footnotes (4)
- [F1]Represents 10,221 shares sold by Pinnacle Ventures, L.L.C. ("PV") in multiple transactions. Mr. Pelowski is a controlling managing member of PV and, as such, is deemed to have sole voting and dispositive power with respect to the shares held by PV. Mr. Pelowski disclaims beneficial ownership of all such shares except to the extent of any pecuniary interest therein. PV did not hold any shares after these transactions were made.
- [F2]The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $12.62 - $12.75, inclusive. The reporting persons undertake to provide to the issuer, any security holder of the issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote.
- [F3]Represents 154,425 shares held by the Pelowski/Mirek Living Trust (the "Trust"). Mr. Pelowski is a co-trustee of the Trust and may be deemed to share voting and dispositive power over the shares held by the Trust. Mr. Pelowski disclaims beneficial ownership of all such shares except to the extent of any pecuniary interest therein.
- [F4]Represents 3,347 shares of common stock and 5,181 restricted stock units that will vest on June 29, 2019, the first anniversary from grant date, subject to Mr. Pelowski's continued service on the board of directors on the vest date.