Cisco Systems International B.V. SEC Form 4 Filed November 7, 2017: Statement of changes in benefici... Last Updated February 6, 2021 at 12:55 AM ST

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FORM 4

SEC FORM 4 SEC Form 4
FORM 4 UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549

STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP

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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Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b).
1. Name and Address of Reporting Person*
CISCO SYSTEMS, INC.

(Last) (First) (Middle)
170 WEST TASMAN DR

(Street)
SAN JOSE CA 95134-1706

(City) (State) (Zip)
2. Issuer Name and Ticker or Trading Symbol
AQUANTIA CORP [ AQ ]
5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
Director X 10% Owner
Officer (give title below) Other (specify below)
3. Date of Earliest Transaction (Month/Day/Year)
11/07/2017
4. If Amendment, Date of Original Filed (Month/Day/Year)
6. Individual or Joint/Group Filing (Check Applicable Line)
Form filed by One Reporting Person
X 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. Transaction Date (Month/Day/Year) 2A. Deemed Execution Date, if any (Month/Day/Year) 3. Transaction 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 11/07/2017 C 243,635 A (1) 243,635 I(8) see footnote
Common Stock 11/07/2017 C 46,505 A (2) 46,505 I(8) see footnote
Common Stock 11/07/2017 C 187,311 A (3) 187,311 I(8) see footnote
Common Stock 11/07/2017 C 93,191 A (4) 93,191 I(8) see footnote
Common Stock 11/07/2017 C 53,879 A (5) 53,879 I(8) see footnote
Common Stock 11/07/2017 C 21,749 A (6) 21,749 I(8) see footnote
Common Stock 11/07/2017 C 26,506 A (7) 26,506 D(9)
Table II - Derivative Securities Acquired, Disposed of, or Beneficially Owned
(e.g., puts, calls, warrants, options, convertible securities)
1. Title of Derivative Security (Instr. 3) 2. Conversion or Exercise Price of Derivative Security 3. Transaction Date (Month/Day/Year) 3A. Deemed Execution Date, if any (Month/Day/Year) 4. Transaction 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 (Month/Day/Year) 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: 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 Convertible Preferred Stock (1) 11/07/2017 C 2,436,351(1) (1) (1) Common Stock 243,635(1) (1) 0 I(8) see footnote
Series B Convertible Preferred Stock (2) 11/07/2017 C 465,056(2) (2) (2) Common Stock 46,505(2) (2) 0 I(8) see footnote
Series D Convertible Preferred Stock (3) 11/07/2017 C 1,873,110(3) (3) (3) Common Stock 187,311(3) (3) 0 I(8) see footnote
Series E Convertible Preferred Stock (4) 11/07/2017 C 931,914(4) (4) (4) Common Stock 93,191(4) (4) 0 I(8) see footnote
Series F Convertible Preferred Stock (5) 11/07/2017 C 538,793(5) (5) (5) Common Stock 53,879(5) (5) 0 I(8) see footnote
Series G Convertible Preferred Stock (6) 11/07/2017 C 217,490(6) (6) (6) Common Stock 21,749(6) (6) 0 I(8) see footnote
Series H Convertible Preferred Stock (7) 11/07/2017 C 265,064(7) (7) (7) Common Stock 26,506(7) (7) 0 D(9)
1. Name and Address of Reporting Person*
CISCO SYSTEMS, INC.

(Last) (First) (Middle)
170 WEST TASMAN DR

(Street)
SAN JOSE CA 95134-1706

(City) (State) (Zip)
1. Name and Address of Reporting Person*
Cisco Systems International B.V.

(Last) (First) (Middle)
HAARLERBERGPARK
HAARLERBERGWEG 13-19

(Street)
AMSTERDAM P7 1101CH

(City) (State) (Zip)
Explanation of Responses:
1. On November 7, 2017, each ten (10) shares of Series A Convertible Preferred Stock automatically converted into one share of Issuer's Common Stock for no additional consideration. The Series A Convertible Preferred Stock had no expiration date.
2. On November 7, 2017, each ten (10) shares of Series B Convertible Preferred Stock automatically converted into one share of Issuer's Common Stock for no additional consideration. The Series B Convertible Preferred Stock had no expiration date.
3. On November 7, 2017, each ten (10) shares of Series D Convertible Preferred Stock automatically converted into one share of Issuer's Common Stock for no additional consideration. The Series D Convertible Preferred Stock had no expiration date.
4. On November 7, 2017, each ten (10) shares of Series E Convertible Preferred Stock automatically converted into one share of Issuer's Common Stock for no additional consideration. The Series E Convertible Preferred Stock had no expiration date.
5. On November 7, 2017, each ten (10) shares of Series F Convertible Preferred Stock automatically converted into one share of Issuer's Common Stock for no additional consideration. The Series F Convertible Preferred Stock had no expiration date.
6. On November 7, 2017, each ten (10) shares of Series G Convertible Preferred Stock automatically converted into one share of Issuer's Common Stock for no additional consideration. The Series G Convertible Preferred Stock had no expiration date.
7. On November 7, 2017, each ten (10) shares of Series H Convertible Preferred Stock automatically converted into one share of Issuer's Common Stock for no additional consideration. The Series H Convertible Preferred Stock had no expiration date.
8. Cisco Systems International B.V. (Cisco International B.V.) directly beneficially owns the reported securities. Cisco Systems, Inc. (Cisco) is the sole owner of the outstanding securities of Cisco International B.V. and as such may be deemed to be an indirect beneficial owner of the reported securities. Except to the extent of any indirect pecuniary interest therein, Cisco disclaims beneficial ownership of the securities beneficially owned by Cisco International B.V. Cisco Systems International B.V.
9. Cisco directly beneficially owns the reported securities.
Remarks:
Following the closing of the Issuer's initial public offering, the Reporting Persons expect that the securities reported herein will represent beneficial ownership of the Issuer of less than 5%.
/s/ Evan Sloves, Attorney in Fact for Cisco Systems International B.V. 11/07/2017
/s/ Evan Sloves, Secretary for Cisco Systems, Inc. 11/07/2017
** 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).
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