0001209191-19-046403.txt : 20190816 0001209191-19-046403.hdr.sgml : 20190816 20190816181011 ACCESSION NUMBER: 0001209191-19-046403 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 20190814 FILED AS OF DATE: 20190816 DATE AS OF CHANGE: 20190816 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Singer Eric CENTRAL INDEX KEY: 0001443284 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-36343 FILM NUMBER: 191034434 MAIL ADDRESS: STREET 1: 825 THIRD AVENUE STREET 2: 33RD FLOOR CITY: NEW YORK STATE: NY ZIP: 10022 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: VIEX Opportunities Fund, LP Series One CENTRAL INDEX KEY: 0001606750 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-36343 FILM NUMBER: 191034435 BUSINESS ADDRESS: STREET 1: C/O VIEX CAPITAL ADVISORS, LLC STREET 2: 825 THIRD AVENUE, 33RD FLOOR CITY: NEW YORK STATE: NY ZIP: 10022 BUSINESS PHONE: 212-752-5750 MAIL ADDRESS: STREET 1: C/O VIEX CAPITAL ADVISORS, LLC STREET 2: 825 THIRD AVENUE, 33RD FLOOR CITY: NEW YORK STATE: NY ZIP: 10022 FORMER NAME: FORMER CONFORMED NAME: VIEX Opportunities Fund, LP DATE OF NAME CHANGE: 20151228 FORMER NAME: FORMER CONFORMED NAME: Vertex Opportunities Fund, LP DATE OF NAME CHANGE: 20140429 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: VIEX Opportunities Fund, LP - Series Two CENTRAL INDEX KEY: 0001659404 FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-36343 FILM NUMBER: 191034436 BUSINESS ADDRESS: STREET 1: C/O VIEX CAPITAL ADVISORS, LLC STREET 2: 825 THIRD AVENUE, 33RD FLOOR CITY: NEW YORK STATE: NY ZIP: 10022 BUSINESS PHONE: 212-752-5750 MAIL ADDRESS: STREET 1: C/O VIEX CAPITAL ADVISORS, LLC STREET 2: 825 THIRD AVENUE, 33RD FLOOR CITY: NEW YORK STATE: NY ZIP: 10022 FORMER NAME: FORMER CONFORMED NAME: VIEX Opportunities Fund, LP Series Two DATE OF NAME CHANGE: 20151228 FORMER NAME: FORMER CONFORMED NAME: Vertex Opportunities Fund, LP Series Two DATE OF NAME CHANGE: 20151125 FORMER NAME: FORMER CONFORMED NAME: Vertex Opportuniteis Fund, LP Series Two DATE OF NAME CHANGE: 20151125 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: VIEX GP, LLC CENTRAL INDEX KEY: 0001654852 FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-36343 FILM NUMBER: 191034437 BUSINESS ADDRESS: STREET 1: 825 THIRD AVE. STREET 2: 33RD FLOOR CITY: NEW YORK STATE: NY ZIP: 10022 BUSINESS PHONE: 212-752-5750 MAIL ADDRESS: STREET 1: 825 THIRD AVE. STREET 2: 33RD FLOOR CITY: NEW YORK STATE: NY ZIP: 10022 FORMER NAME: FORMER CONFORMED NAME: Vertex GP, LLC DATE OF NAME CHANGE: 20151005 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: VIEX Special Opportunities Fund II, LP CENTRAL INDEX KEY: 0001619127 FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-36343 FILM NUMBER: 191034438 BUSINESS ADDRESS: STREET 1: C/O VIEX CAPITAL ADVISORS, LLC STREET 2: 825 THIRD AVENUE, 33RD FLOOR CITY: NEW YORK STATE: NY ZIP: 10022 BUSINESS PHONE: 212-752-5750 MAIL ADDRESS: STREET 1: C/O VIEX CAPITAL ADVISORS, LLC STREET 2: 825 THIRD AVENUE, 33RD FLOOR CITY: NEW YORK STATE: NY ZIP: 10022 FORMER NAME: FORMER CONFORMED NAME: VIEX Opportunities Fund, LP - Series One DATE OF NAME CHANGE: 20171212 FORMER NAME: FORMER CONFORMED NAME: VIEX Special Opportunities Fund II, LP DATE OF NAME CHANGE: 20151228 FORMER NAME: FORMER CONFORMED NAME: Vertex Special Opportunities Fund II, LP DATE OF NAME CHANGE: 20140910 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: VIEX Special Opportunities GP II, LLC CENTRAL INDEX KEY: 0001658891 FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-36343 FILM NUMBER: 191034439 BUSINESS ADDRESS: STREET 1: 825 THIRD AVENUE STREET 2: 33RD FLOOR CITY: NEW YORK STATE: NY ZIP: 10022 BUSINESS PHONE: 212-752-5750 MAIL ADDRESS: STREET 1: 825 THIRD AVENUE STREET 2: 33RD FLOOR CITY: NEW YORK STATE: NY ZIP: 10022 FORMER NAME: FORMER CONFORMED NAME: Vertex Special Opportunities GP II, LLC DATE OF NAME CHANGE: 20151119 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: VIEX Special Opportunities Fund III, LP CENTRAL INDEX KEY: 0001619126 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-36343 FILM NUMBER: 191034440 BUSINESS ADDRESS: STREET 1: C/O VIEX CAPITAL ADVISORS, LLC STREET 2: 825 THIRD AVENUE, 33RD FLOOR CITY: NEW YORK STATE: NY ZIP: 10022 BUSINESS PHONE: 212-752-5750 MAIL ADDRESS: STREET 1: C/O VIEX CAPITAL ADVISORS, LLC STREET 2: 825 THIRD AVENUE, 33RD FLOOR CITY: NEW YORK STATE: NY ZIP: 10022 FORMER NAME: FORMER CONFORMED NAME: Vertex Special Opportunities Fund III, LP DATE OF NAME CHANGE: 20140910 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: VIEX Special Opportunities GP III, LLC CENTRAL INDEX KEY: 0001676049 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-36343 FILM NUMBER: 191034441 BUSINESS ADDRESS: STREET 1: 825 THIRD AVE, 33RD FLOOR CITY: NEW YORK STATE: NY ZIP: 10022 BUSINESS PHONE: (212) 451-2282 MAIL ADDRESS: STREET 1: 825 THIRD AVE, 33RD FLOOR CITY: NEW YORK STATE: NY ZIP: 10022 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: VIEX Capital Advisors, LLC CENTRAL INDEX KEY: 0001619125 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-36343 FILM NUMBER: 191034442 BUSINESS ADDRESS: STREET 1: 745 BOYLSTON STREET STREET 2: 3RD FLOOR CITY: BOSTON STATE: MA ZIP: 02116 BUSINESS PHONE: 212-752-5750 MAIL ADDRESS: STREET 1: 745 BOYLSTON STREET STREET 2: 3RD FLOOR CITY: BOSTON STATE: MA ZIP: 02116 FORMER NAME: FORMER CONFORMED NAME: Vertex Capital Advisors, LLC DATE OF NAME CHANGE: 20140910 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: A10 Networks, Inc. CENTRAL INDEX KEY: 0001580808 STANDARD INDUSTRIAL CLASSIFICATION: COMPUTER COMMUNICATIONS EQUIPMENT [3576] IRS NUMBER: 201446869 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 BUSINESS ADDRESS: STREET 1: 3 WEST PLUMERIA DRIVE CITY: SAN JOSE STATE: CA ZIP: 95134 BUSINESS PHONE: (408) 325-8668 MAIL ADDRESS: STREET 1: 3 WEST PLUMERIA DRIVE CITY: SAN JOSE STATE: CA ZIP: 95134 4 1 doc4.xml FORM 4 SUBMISSION X0306 4 2019-08-14 0 0001580808 A10 Networks, Inc. ATEN 0001443284 Singer Eric C/O A10 NETWORKS, INC. 3 WEST PLUMERIA DRIVE SAN JOSE CA 95134 1 0 0 0 0001606750 VIEX Opportunities Fund, LP Series One C/O A10 NETWORKS, INC. 3 WEST PLUMERIA DRIVE SAN JOSE CA 95134 1 0 0 0 0001659404 VIEX Opportunities Fund, LP - Series Two C/O A10 NETWORKS, INC. 3 WEST PLUMERIA DRIVE SAN JOSE CA 95134 1 0 0 0 0001654852 VIEX GP, LLC C/O A10 NETWORKS, INC. 3 WEST PLUMERIA DRIVE SAN JOSE CA 95134 1 0 0 0 0001619127 VIEX Special Opportunities Fund II, LP C/O A10 NETWORKS, INC. 3 WEST PLUMERIA DRIVE SAN JOSE CA 95134 1 0 0 0 0001658891 VIEX Special Opportunities GP II, LLC C/O A10 NETWORKS, INC. 3 WEST PLUMERIA DRIVE SAN JOSE CA 95134 1 0 0 0 0001619126 VIEX Special Opportunities Fund III, LP C/O A10 NETWORKS, INC. 3 WEST PLUMERIA DRIVE SAN JOSE CA 95134 1 0 0 0 0001676049 VIEX Special Opportunities GP III, LLC C/O A10 NETWORKS, INC. 3 WEST PLUMERIA DRIVE SAN JOSE CA 95134 1 0 0 0 0001619125 VIEX Capital Advisors, LLC C/O A10 NETWORKS, INC. 3 WEST PLUMERIA DRIVE SAN JOSE CA 95134 1 0 0 0 Common Stock, par value $0.00001 2019-08-14 4 X 0 45200 7.50 A 3576422 I By Viex Special Opportunities Fund II, LP Common Stock, par value $0.00001 2019-08-15 4 X 0 217900 7.50 A 3794322 I By Viex Special Opportunities Fund II, LP Common Stock, par value $0.00001 30120 D Common Stock, par value $0.00001 1658360 I By Viex Opportunities Fund, LP - Series One Common Stock, par value $0.00001 331977 I By Viex Opportunities Fund, LP - Series Two Common Stock, par value $0.00001 271116 I By Viex Special Opportunities Fund III, LP Put Option (Obligation to Buy) 7.50 2019-08-14 4 X 0 452 0.00 D 2019-08-16 Common Stock, par value $0.00001 45200 13227 I By Viex Special Opportunities Fund II, LP Put Option (Obligation to Buy) 7.50 2019-08-15 4 X 0 2179 0.00 D 2019-08-16 Common Stock, par value $0.00001 217900 11048 I By Viex Special Opportunities Fund II, LP Call Option (Right to Buy) 2.50 2019-07-30 2019-11-15 Common Stock, par value $0.00001 150900 1509 I By Viex Opportunities Fund, LP - Series Two Call Option (Right to Buy) 2.50 2019-07-30 2019-11-15 Common Stock, par value $0.00001 150000 1500 I By Viex Special Opportunities Fund II, LP Call Option (Right to Buy) 5.00 2019-07-30 2019-11-15 Common Stock, par value $0.00001 5900 59 I By Viex Special Opportunities Fund II, LP Put Option (Obligation to Buy) 5.00 2019-07-30 2019-08-16 Common Stock, par value $0.00001 111700 1117 I By Viex Special Opportunities Fund II, LP Put Option (Obligation to Buy) 7.50 2019-07-30 2019-11-15 Common Stock, par value $0.00001 200000 2000 I By Viex Special Opportunities Fund II, LP Call Option (Right to Buy) 2.50 2019-07-30 2019-11-15 Common Stock, par value $0.00001 210500 2105 I By Viex Special Opportunities Fund III, LP Call Option (Right to Buy) 5.00 2019-07-30 2019-11-15 Common Stock, par value $0.00001 5800 58 I By Viex Special Opportunities Fund III, LP Shares of Common Stock of A10 Networks, Inc. (the "Issuer") beneficially owned directly by VSO II or options sold by VSO II. The transactions reported herein represent the exercises of (i) 452 put option contracts on August 14, 2019 and (ii) 2,179 put option contracts on August 15, 2019 sold by VSO II, each contract representing 100 shares of Issuer Common Stock, by the counterparty and the acquisition of the shares underlying such put options by VSO II. VSO GP II, as the general partner of VSO II, may be deemed the beneficial owner of the shares of Common Stock of the Issuer beneficially owned by VSO II. VIEX Capital, as the investment manager of VSO II, may be deemed the beneficial owner of the shares of Common Stock of the Issuer beneficially owned by VSO II. Mr. Singer, as the managing member of each of VSO GP II and VIEX Capital, may be deemed the beneficial owner of the shares of Common Stock of the Issuer beneficially owned by VSO II. This Form 4 is filed jointly by VIEX Opportunities Fund, LP - Series One ("Series One"), a series of VIEX Opportunities Fund, LP, VIEX Opportunities Fund, LP - Series Two ("Series Two"), a series of VIEX Opportunities Fund, LP, VIEX Special Opportunities Fund II, LP ("VSO II"), Viex Special Opportunities Fund III, LP ("VSO III"), VIEX GP, LLC ("VIEX GP"), VIEX Special Opportunities GP II, LLC ("VSO GP II"), Viex Special Opportunities GP III, LLC ("VSO GP III"), VIEX Capital Advisors, LLC ("VIEX Capital"), and Eric Singer (collectively, the "Reporting Persons"). Securities of the Issuer beneficially owned directly by VSO II. VSO GP II, as the general partner of VSO II, may be deemed the beneficial owner of the securities of the Issuer beneficially owned by VSO II. VIEX Capital, as the investment manager of VSO II, may be deemed the beneficial owner of the securities of the Issuer beneficially owned by VSO II. Mr. Singer, as the managing member of each of VSO GP II and VIEX Capital, may be deemed the beneficial owner of the securities of the Issuer beneficially owned by VSO II. Each Reporting Person disclaims beneficial ownership of the securities of the Issuer reported herein except to the extent of his or its pecuniary interest therein, and this report shall not be deemed to be an admission that any Reporting Person is the beneficial owner of such securities for purposes of Section 16 or for any other purpose. Securities of A10 Networks, Inc. (the "Issuer") beneficially owned directly by Series One. VIEX GP, as the general partner of Series One, may be deemed the beneficial owner of the securities of the Issuer beneficially owned by Series One. VIEX Capital, as the investment manager of Series One, may be deemed the beneficial owner of the securities of the Issuer beneficially owned by Series One. Mr. Singer, as the managing member of each of VIEX GP and VIEX Capital, may be deemed the beneficial owner of the securities of the Issuer beneficially owned by Series One. Securities of the Issuer beneficially owned directly by Series Two. VIEX GP, as the general partner of Series Two, may be deemed the beneficial owner of the securities of the Issuer beneficially owned by Series Two. VIEX Capital, as the investment manager of Series Two, may be deemed the beneficial owner of the securities of the Issuer beneficially owned by Series Two. Mr. Singer, as the managing member of each of VIEX GP and VIEX Capital, may be deemed the beneficial owner of the securities of the Issuer beneficially owned by Series Two. Securities of the Issuer beneficially owned directly by VSO III. VSO GP III, as the general partner of VSO III, may be deemed the beneficial owner of the securities of the Issuer beneficially owned by VSO III. VIEX Capital, as the investment manager of VSO III, may be deemed the beneficial owner of the securities of the Issuer beneficially owned by VSO III. Mr. Singer, as the managing member of each of VSO GP III and VIEX Capital, may be deemed the beneficial owner of the securities of the Issuer beneficially owned by VSO III. These options are currently exercisable. /s/ Eric Singer 2019-08-16 VIEX OPPORTUNITIES FUND, LP - SERIES ONE By: VIEX GP, LLC, its General Partner, Name: /s/ Eric Singer, Title: Managing Partner 2019-08-16 VIEX OPPORTUNITIES FUND, LP - SERIES TWO By: VIEX GP, LLC, its General Partner, Name: /s/ Eric Singer, Title: Managing Partner 2019-08-16 VIEX GP, LLC, its General Partner, Name: /s/ Eric Singer, Title: Managing Partner 2019-08-16 VIEX SPECIAL OPPORTUNITIES FUND II, LP By: VIEX Special Opportunities GP II, LLC, its General Partner, Name: /s/ Eric Singer, Title: Managing Member 2019-08-16 VIEX SPECIAL OPPORTUNITIES GP II, LLC Name: /s/ Eric Singer, Title: Managing Member 2019-08-16 VIEX SPECIAL OPPORTUNITIES FUND III, LP By: VIEX Special Opportunities GP III, LLC, its General Partner, Name: /s/ Eric Singer, Title: Managing Member 2019-08-16 VIEX SPECIAL OPPORTUNITIES GP III, LLC Name: /s/ Eric Singer, Title: Managing Member 2019-08-16 VIEX CAPITAL ADVISORS, LLC, its General Partner, Name: /s/ Eric Singer, Title: Managing Partner 2019-08-16 EX-24 2 attachment1.htm EX-24 DOCUMENT

                                POWER OF ATTORNEY

      The undersigned, as a Section 16 reporting person of A10 Networks, Inc.
(the "Company"), hereby constitutes and appoints Robert Cochran and
Jill Osato, the undersigned's true and lawful attorneys-in-fact, to:

     	1. Complete and execute Forms 3, 4 and 5 and other forms and all
amendments thereto as such attorneys-in-fact shall in their discretion
determine to be required or advisable pursuant to Section 16 of the Securities
Exchange Act of 1934 (as amended) and the rules and regulations promulgated
thereunder, or any successor laws and regulations, as a consequence of the
undersigned's ownership, acquisition or disposition of securities of the
Company; and

      	2. Do all acts necessary in order to file such forms with the SEC, any
securities exchange or national association, the Company and such other person
or agency as the attorneys-in-fact shall deem appropriate.

      The undersigned hereby ratifies and confirms all that said attorneys-in-
fact and agent shall do or cause to be done by virtue hereof.  The undersigned
acknowledges that the foregoing attorneys-in-fact, 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 Securities Exchange Act of 1934 (as amended).

      This Power of Attorney shall remain in full force and effect until the
undersigned is no longer required to file Forms 3, 4 and 5 with respect to the
undersigned's holdings of and transactions in securities issued by the Company,
unless earlier revoked by the undersigned in a signed writing delivered to the
Company and the foregoing attorneys-in-fact.

      IN WITNESS WHEREOF, the undersigned has caused this Power of Attorney to
be executed as of this 29 day of July, 2019.

      					Signature: /s/ Eric Singer
      					Print Name:  Eric Singer