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Filing Details

Accession Number:: 0000899243-18-007332
Form Type:: 4
Zero Holdings:: No
Publication Time:: 2018-03-13 21:31:18
Reporting Period:: 2018-03-09

Accepted Time:: 2018-03-13 21:31:18
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

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Sec. Name	Acquisiton - Disposition	Date	Amount	Price	Remaning Holdings	Equity Swap Involved	Form Type	Code	Nature of Ownership	Explanation
Common Stock	Acquisiton	2018-03-09	40,516	$6.66	2,624,781	No	4	C	Indirect	See Footnote
Common Stock	Disposition	2018-03-09	17,362	$15.55	2,607,419	No	4	S	Indirect	See Footnote

Equity Swap Involved	Form Type	Code	Nature of Ownership	Explanation
No	4	C	Indirect	See Footnote
No	4	S	Indirect	See Footnote

Reported Derivative Transactions

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Sec. Name	Sec. Type	Acquisiton - Disposition	Date	Amount	Price	Amount - 2	Price - 2
Common Stock	Common Stock Warrant (Right to Buy)	Disposition	2018-03-09	40,516	$0.00	40,516	$6.66

Remaning Holdings	Exercise Date	Expiration Date	Equity Swap Involved	Transaction Form Type	Transaction Code	Nature of Ownership
40,516	2008-03-10	2018-03-09	No	4	C	Indirect

Reported Non-Derivative Holdings

Sec. Name	Remaning Holdings	Nature of Ownership	Explanation
Common Stock	3,347	Direct

Footnotes

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.
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.
(Continued from Footnote 2) Mr. Pelowski disclaims beneficial ownership of such shares except to the extent of any pecuniary interest therein.
These securities represent restricted stock units previously granted to the reporting person pursuant to the Issuer's non-employee director compensation policy.
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.