0001209191-17-058991.txt : 20171102 0001209191-17-058991.hdr.sgml : 20171102 20171102185222 ACCESSION NUMBER: 0001209191-17-058991 CONFORMED SUBMISSION TYPE: 3 PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 20171102 FILED AS OF DATE: 20171102 DATE AS OF CHANGE: 20171102 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: VOLL MARK CENTRAL INDEX KEY: 0001207512 FILING VALUES: FORM TYPE: 3 SEC ACT: 1934 Act SEC FILE NUMBER: 001-38270 FILM NUMBER: 171174123 MAIL ADDRESS: STREET 1: C/O AQUANTIA CORP. STREET 2: 105 EAST TASMAN DRIVE CITY: SAN JOSE STATE: CA ZIP: 95134 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: AQUANTIA CORP CENTRAL INDEX KEY: 0001316016 STANDARD INDUSTRIAL CLASSIFICATION: SEMICONDUCTORS & RELATED DEVICES [3674] IRS NUMBER: 000000000 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 BUSINESS ADDRESS: STREET 1: 105 E. TASMAN DRIVE CITY: SAN JOSE STATE: CA ZIP: 95035 BUSINESS PHONE: 408-228-8300 MAIL ADDRESS: STREET 1: 105 E. TASMAN DRIVE CITY: SAN JOSE STATE: CA ZIP: 95035 3 1 doc3.xml FORM 3 SUBMISSION X0206 3 2017-11-02 0 0001316016 AQUANTIA CORP AQ 0001207512 VOLL MARK C/O AQUANTIA CORP. 105 EAST TASMAN DRIVE SAN JOSE CA 95134 0 1 0 0 Chief Financial Officer Common Stock 22727 D Series A Preferred Stock Common Stock 3366 D Series B Preferred Stock Common Stock 1459 D Series D Preferred Stock Common Stock 8474 D Series E Preferred Stock Common Stock 2429 D Series F Preferred Stock Common Stock 1035 D Series G Preferred Stock Common Stock 650 D Employee Stock Option (Right to Buy) 4.40 2026-04-21 Common Stock 62272 D Employee Stock Option (Right to Buy) 7.10 2027-04-26 Common Stock 29999 D 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. All shares underlying this option are immediately exercisable, subject to a repurchase right in the Issuer's favor which lapses in accordance with the option's vesting schedule. 37,188 shares are vested. The remaining shares vest in a series of twenty-seven (27) equal monthly installments beginning November 11, 2017, subject to the Reporting Person providing continuous service to the Issuer on each such date. All shares underlying this option are immediately exercisable, subject to a repurchase right in the Issuer's favor which lapses in accordance with the option's vesting schedule. This option vests with respect to one quarter (1/4) of the shares of stock which are subject to this option on January 1, 2018. The remaining shares vest in thirty-six (36) equal monthly installments beginning on February 1, 2018, subject to the Reporting Person providing continuous service to the Issuer on each such date. Exhibit List - Exhibit 24 - Power of Attorney /s/ Alison Haggerty, Attorney-in-Fact 2017-11-02 EX-24.3_750274 2 poa.txt POA DOCUMENT POWER OF ATTORNEY (For Executing Form ID and Forms 3, 4 and 5) Know all by these presents, that the undersigned hereby constitutes and appoints each of Josh Kaufman and Alison Haggerty of Cooley LLP, signing individually, the undersigned's true and lawful attorneys-in fact and agents to: (1) Prepare, execute in the undersigned's name and on the undersigned's behalf, and submit to the the Securities and Exchange Commission (the "SEC") Form ID and Forms 3, 4 and 5 (including amendments thereto and joint filing agreements in connection therewith) in accordance with Section 16(a) of the Securities Exchange Act of 1934, as amended (the "Exchange Act") and the rules thereunder in the undersigned's capacity as an officer, director or beneficial owner of more than 10% of a registered class of securities of Aquantia Corp. (the "Company"); (2) Do and perform any and all acts for and on behalf of the undersigned that may be necessary or desirable to prepare and execute any such Form ID and Forms 3, 4 or 5 (including amendments thereto and joint filing agreements in connection therewith) and file such forms with the SEC and any stock exchange, self-regulatory association or any similar authority; and (3) Take any other action of any type whatsoever in connection with the foregoing that, in the opinion of such attorney-in-fact, may be of benefit to, in the best interest of, or legally required of the undersigned, it being understood that the documents executed by the attorney-in-fact on behalf of the undersigned pursuant to this Power of Attorney shall be in such form and shall contain such terms and conditions as the attorney-in-fact may approve in the attorney-in-fact's discretion. The undersigned hereby grants to each such attorney in fact full power and authority to do and perform any and every act and thing whatsoever requisite, necessary, or proper to be done in the exercise of any of the rights and powers herein granted, as fully to all intents and purposes as the undersigned might or could do if personally present, with full power of substitution or revocation, hereby ratifying and confirming all that such attorney in fact, or such attorney in fact's substitute or substitutes, shall lawfully do or cause to be done by virtue of this power of attorney and the rights and powers herein granted. The undersigned acknowledges that the foregoing attorneys-in-fact, and their substitutes, in serving in such capacity at the request of the undersigned, are not assuming (nor is the Company assuming) any of the undersigned's responsibilities to comply with Section 16 of the Exchange Act. This Power of Attorney shall remain in full force and effect until the earliest to occur of (a) the undersigned is no longer required to file Form ID or Forms 3, 4 and 5 with respect to the undersigned's holdings of and transactions in securities issued by the Company, (b) revocation by the undersigned in a signed writing delivered to the Company and the foregoing attorneys-in fact or (c) as to any attorney-in-fact individually, until such attorney-in-fact is no longer employed by Cooley LLP. IN WITNESS WHEREOF, the undersigned has caused this Power of Attorney to be executed as of the date written below. Date: October 25, 2017 By: /s/ Mark Voll Mark Voll