FORM 4
[ ] Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b).         
UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549

STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OF SECURITIES
                                                                                  
OMB APPROVAL
OMB Number: 3235-0287
Estimated average burden
hours per response...
0.5
                      
Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934 or Section 30(h) of the Investment Company Act of 1940
                      

1. Name and Address of Reporting Person *

TAN LIP BU
2. Issuer Name and Ticker or Trading Symbol

AQUANTIA CORP [ AQ ]
5. Relationship of Reporting Person(s) to Issuer (Check all applicable)

__ X __ Director                      __ X __ 10% Owner
_____ Officer (give title below)      _____ Other (specify below)
(Last)          (First)          (Middle)

333 BUSH STREET, SUITE 2800
3. Date of Earliest Transaction (MM/DD/YYYY)

11/7/2017
(Street)

SAN FRANCISCO, CA 94104
(City)        (State)        (Zip)
4. If Amendment, Date Original Filed (MM/DD/YYYY)

 
6. Individual or Joint/Group Filing (Check Applicable Line)

_ X _ Form filed by One Reporting Person
___ Form filed by More than One Reporting Person

Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
1.Title of Security
(Instr. 3)
2. Trans. Date 2A. Deemed Execution Date, if any 3. Trans. Code
(Instr. 8)
4. Securities Acquired (A) or Disposed of (D)
(Instr. 3, 4 and 5)
5. Amount of Securities Beneficially Owned Following Reported Transaction(s)
(Instr. 3 and 4)
6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4) 7. Nature of Indirect Beneficial Ownership (Instr. 4)
Code V Amount (A) or (D) Price
Common Stock   11/7/2017     C    2240632   A   (1) 2720632   (2) I   See Footnote   (3)

Table II - Derivative Securities Beneficially Owned ( e.g. , puts, calls, warrants, options, convertible securities)
1. Title of Derivate Security
(Instr. 3)
2. Conversion or Exercise Price of Derivative Security 3. Trans. Date 3A. Deemed Execution Date, if any 4. Trans. Code
(Instr. 8)
5. Number of Derivative Securities Acquired (A) or Disposed of (D)
(Instr. 3, 4 and 5)
6. Date Exercisable and Expiration Date 7. Title and Amount of Securities Underlying Derivative Security
(Instr. 3 and 4)
8. Price of Derivative Security
(Instr. 5)
9. Number of derivative Securities Beneficially Owned Following Reported Transaction(s) (Instr. 4) 10. Ownership Form of Derivative Security: Direct (D) or Indirect (I) (Instr. 4) 11. Nature of Indirect Beneficial Ownership (Instr. 4)
Code V (A) (D) Date Exercisable Expiration Date Title Amount or Number of Shares
Series A Preferred Stock     (1) 11/7/2017     C         1784317      (1)   (1) Common Stock   178430   (4) $0.00   0   I   See Footnote   (3)
Series B Preferred Stock     (1) 11/7/2017     C         773594      (1)   (1) Common Stock   77357   (5) $0.00   0   I   See Footnote   (3)
Series D Preferred Stock     (1) 11/7/2017     C         6742484      (1)   (1) Common Stock   674247   (6) $0.00   0   I   See Footnote   (3)
Series E Preferred Stock     (1) 11/7/2017     C         8665227      (1)   (1) Common Stock   866521   (7) $0.00   0   I   See Footnote   (3)
Series F Preferred Stock     (1) 11/7/2017     C         549005      (1)   (1) Common Stock   54899   (8) $0.00   0   I   See Footnote   (3)
Series G Preferred Stock     (1) 11/7/2017     C         398787      (1)   (1) Common Stock   39877   (9) $0.00   0   I   See Footnote   (3)
Series H Preferred Stock     (1) 11/7/2017     C         3493011      (1)   (1) Common Stock   349301   (10) $0.00   0   I   See Footnote   (3)

Explanation of Responses:
(1)  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.
(2)  The reportable securities include 1,868,084 shares directly owned by WRV II, L.P ("WRV II"), 639,573 shares directly owned by Walden Riverwood Ventures, L.P. ("WRV") and 212,975 shares directly owned by A&E Investment, LLC ("A&E").
(3)  The Reporting Person is a member of the investment committee of the general partner of each of WRV II and WRV, and is a co-trustee of the sole member of A&E. The Reporting Person may be deemed to share voting and dispositive power with respect to the securities held by WRV II, WRV and A&E and disclaims beneficial ownership of such securities except for the Reporting Person's pecuniary interest therein.
(4)  The reportable securities include 112,221 shares directly owned by WRV II, 56,110 shares directly owned by WRV and 10,099 shares directly owned by A&E.
(5)  The reportable securities include 48,653 shares directly owned by WRV II, 24,326 shares directly owned by WRV and 4,378 shares directly owned by A&E.
(6)  The reportable securities include 507,579 shares directly owned by WRV II, 141,244 shares directly owned by WRV and 25,424 shares directly owned by A&E.
(7)  The reportable securities include 663,425 shares directly owned by WRV II, 40,489 shares directly owned by WRV and 162,607 shares directly owned by A&E.
(8)  The reportable securities include 34,528 shares directly owned by WRV II, 17,264 shares directly owned by WRV and 3,107 shares directly owned by A&E.
(9)  The reportable securities include 21,678 shares directly owned by WRV II, 10,839 shares directly owned by WRV and 7,360 shares directly owned by A&E.
(10)  The reportable securities are directly owned by WRV.

Reporting Owners
Reporting Owner Name / Address
Relationships
Director 10% Owner Officer Other
TAN LIP BU
333 BUSH STREET, SUITE 2800
SAN FRANCISCO, CA 94104
X X


Signatures
/s/ Alison Haggerty, Attorney-in-Fact 11/8/2017
** Signature of Reporting Person Date


Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly.
* If the form is filed by more than one reporting person, see Instruction 4(b)(v).
** Intentional misstatements or omissions of facts constitute Federal Criminal Violations. See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a).
Note: File three copies of this Form, one of which must be manually signed. If space is insufficient, see Instruction 6 for procedure.
Persons who respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB control number.
Aquantia (NYSE:AQ)
Historical Stock Chart
From Apr 2024 to May 2024 Click Here for more Aquantia Charts.
Aquantia (NYSE:AQ)
Historical Stock Chart
From May 2023 to May 2024 Click Here for more Aquantia Charts.