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Home > Insider Trading > Filing (0000899243-18-008991)

Filing Details

Accession Number:
0000899243-18-008991
Form Type:
4
Zero Holdings:
No
Publication Time:
2018-03-30 18:00:26
Reporting Period:
2018-03-28
Accepted Time:
2018-03-30 18:00:26
SEC Url:
Form 4 Filing
Issuer
Cik Name Symbol Sector (SIC) IRS No
1316016 Aquantia Corp AQ Semiconductors & Related Devices (3674) 000000000
Insiders
Cik Name Reported Address Insider Title Director Officer Large Shareholder Other
1721262 Ken Pelowski 1600 El Camino Real, Suite 250
Menlo Park CA 94025		 Yes No No No
Reported Non-Derivative Transactions
Show Other Fields >>
Sec. Name Acquisiton - Disposition Date Amount Price Remaning Holdings Equity Swap Involved Form Type Code Nature of Ownership Explanation
Common Stock Acquisiton 2018-03-28 42,016 $6.66 2,649,435 No 4 C Indirect See Footnotes
Common Stock Disposition 2018-03-28 16,865 $16.60 2,632,570 No 4 S Indirect See Footnotes
Equity Swap Involved Form Type Code Nature of Ownership Explanation
No 4 C Indirect See Footnotes
No 4 S Indirect See Footnotes
Reported Derivative Transactions
Show Other Fields >>
Sec. Name Sec. Type Acquisiton - Disposition Date Amount Price Amount - 2 Price - 2
Common Stock Common Stock Warrant (Right to Buy) Disposition 2018-03-28 42,016 $0.00 42,016 $6.66
Remaning Holdings Exercise Date Expiration Date Equity Swap Involved Transaction Form Type Transaction Code Nature of Ownership
42,016 2009-11-16 2019-11-16 No 4 C Indirect
Reported Non-Derivative Holdings
Sec. Name Remaning Holdings Nature of Ownership Explanation
Common Stock 3,347 Direct
Footnotes
  1. On March 28, 2018, Pinnacle Ventures I (Q) Equity Holdings, L.L.C., Pinnacle Ventures I Affiliates, L.P. and Pinnacle Ventures II Equity Holdings, L.L.C. (collectively, the "Exercising Entities") exercised warrants to purchase a total of 42,016 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 16,865 of the warrant shares to pay the exercise price and issuing to the Exercising Entities the remaining 25,151 shares.
  2. 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.
  3. (Continued from Footnote 2) Mr. Pelowski disclaims beneficial ownership of such shares except to the extent of any pecuniary interest therein.
  4. These securities represent restricted stock units previously granted to the reporting person pursuant to the Issuer's non-employee director compensation policy.
  5. Represents 13,588 shares directly owned by Pinnacle Ventures I (Q) Equity Holdings, L.L.C., 277 shares directly owned by Pinnacle Ventures I Affiliates, L.P. and 28,151 shares directly owned by Pinnacle Ventures II Equity Holdings, L.L.C.