Aquantia Form 3 / SAM SRINIVASAN ownership change

SEC Form 3

FORM 3

UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549

INITIAL STATEMENT OF BENEFICIAL OWNERSHIP OF SECURITIES

Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934
or Section 30(h) of the Investment Company Act of 1940

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1. Name and Address of Reporting Person^*

SRINIVASAN SAM

(Last)

(First)

(Middle)

C/O AQUANTIA CORP

105 EAST TASMAN DRIVE

(Street)

SAN JOSE

95134

(City)

(State)

(Zip)

2. Date of Event Requiring Statement (Month/Day/Year)
11/02/2017

3. Issuer Name and Ticker or Trading Symbol
AQUANTIA CORP [ AQ ]

4. Relationship of Reporting Person(s) to Issuer
(Check all applicable)

X	Director	10% Owner
	Officer (give title below)	Other (specify below)

5. If Amendment, Date of Original Filed (Month/Day/Year)

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 Beneficially Owned
1. Title of Security (Instr. 4)	2. Amount of Securities Beneficially Owned (Instr. 4)	3. Ownership Form: Direct (D) or Indirect (I) (Instr. 5)	4. Nature of Indirect Beneficial Ownership (Instr. 5)
Common Stock	58,823	I	By: The Srinivasan Family Trust dated 07/07/1992

Table II - Derivative Securities Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities)
1. Title of Derivative Security (Instr. 4)	2. Date Exercisable and Expiration Date (Month/Day/Year)		3. Title and Amount of Securities Underlying Derivative Security (Instr. 4)		4. Conversion or Exercise Price of Derivative Security	5. Ownership Form: Direct (D) or Indirect (I) (Instr. 5)	6. Nature of Indirect Beneficial Ownership (Instr. 5)
1. Title of Derivative Security (Instr. 4)	Date Exercisable	Expiration Date	Title	Amount or Number of Shares	4. Conversion or Exercise Price of Derivative Security	5. Ownership Form: Direct (D) or Indirect (I) (Instr. 5)	6. Nature of Indirect Beneficial Ownership (Instr. 5)
Series A Preferred Stock	⁽¹⁾	⁽¹⁾	Common Stock	35,910	⁽¹⁾	D
Series B Preferred Stock	⁽¹⁾	⁽¹⁾	Common Stock	15,569	⁽¹⁾	D
Series D Preferred Stock	⁽¹⁾	⁽¹⁾	Common Stock	90,396	⁽¹⁾	D
Series E Preferred Stock	⁽¹⁾	⁽¹⁾	Common Stock	25,913	⁽¹⁾	D
Series F Preferred Stock	⁽¹⁾	⁽¹⁾	Common Stock	11,049	⁽¹⁾	D
Series G Preferred Stock	⁽¹⁾	⁽¹⁾	Common Stock	6,937	⁽¹⁾	D
Stock Option (Right to Buy)	⁽²⁾	11/13/2025	Common Stock	8,000	4.4	D

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 convert into Common Stock on a 1:10 basis immediately prior to the closing of the Issuer's initial public offering.

2. 2,000 shares are vested and immediately exercisable. The remaining shares vest in three (3) equal installments beginning on November 13, 2017.

Remarks:

Exhibit List - Exhibit 24 - Power of Attorney

	/s/ Alison Haggerty, Attorney-in-Fact	11/02/2017
	** 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 5 (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 Number.

Aquantia Inactive Form 3AQUANTIA / SAM SRINIVASAN ownership change