0001209191-19-056945.txt : 20191118 0001209191-19-056945.hdr.sgml : 20191118 20191118162725 ACCESSION NUMBER: 0001209191-19-056945 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20191114 FILED AS OF DATE: 20191118 DATE AS OF CHANGE: 20191118 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: 191227869 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: 191227870 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: 191227871 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: 191227872 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: 191227873 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: 191227874 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: 191227875 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: 191227876 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: 191227877 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 2019-11-14 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 2019-11-14 4 X 0 67200 7.50 A 4966322 I By Viex Special Opportunities Fund II, LP Common Stock, par value $0.00001 2019-11-15 4 X 0 132800 7.50 A 5099122 I By Viex Special Opportunities Fund II, LP Common Stock, par value $0.00001 2019-11-15 4 X 0 5900 5.00 A 5105022 I By Viex Special Opportunities Fund II, LP Common Stock, par value $0.00001 2019-11-15 4 X 0 150000 2.50 A 5255022 I By Viex Special Opportunities Fund II, LP Common Stock, par value $0.0000 2019-11-15 4 X 0 5800 5.00 A 276916 I By Viex Special Opportunities Fund III, LP Common Stock, par value $0.00001 2019-11-15 4 X 0 210500 2.50 A 487416 I By Viex Special Opportunities Fund III, LP Common Stock, par value $0.00001 2019-11-15 4 X 0 150900 2.50 A 482877 I By Viex Opportunities Fund, LP - Series Two Common Stock, par value $0.00001 1658360 I By Viex Opportunities Fund, LP - Series One Common Stock, par value $0.00001 30120 D Put Option (Obligation to Buy) 7.50 2019-11-14 4 X 0 672 0.00 D 2019-11-15 Common Stock, par value $0.00001 67200 1328 I By Viex Special Opportunities Fund II, LP Put Option (Obligation to Buy) 7.50 2019-11-15 4 X 0 1328 0.00 D 2019-11-15 Common Stock, par value $0.00001 132800 0 I By Viex Special Opportunities Fund II, LP Call Option (Right to Buy) 5.00 2019-11-15 4 X 0 59 0.00 D 2019-11-15 Common Stock, par value $0.00001 5900 0 I By Viex Special Opportunities Fund II, LP Call Option (Right to Buy) 2.50 2019-11-15 4 X 0 1500 0.00 D 2019-11-15 Common Stock, par value $0.00001 150000 0 I By Viex Special Opportunities Fund II, LP Call Option (Right to Buy) 2.50 2019-11-15 4 X 0 2105 0.00 D 2019-11-15 Common Stock, par value $0.00001 210500 0 I By Viex Special Opportunities Fund III, LP Call Option (Right to Buy) 5.00 2019-11-15 4 X 0 58 0.00 D 2019-11-15 Common Stock, par value $0.00001 5800 0 I By Viex Special Opportunities Fund III, LP Call Option (Right to Buy) 2.50 2019-11-15 4 X 0 1509 0.00 D 2019-11-15 Common Stock, par value $0.00001 150900 0 I By Viex Opportunities Fund, LP - Series Two Shares of Common Stock of A10 Networks, Inc. (the "Issuer") beneficially owned directly by VSO II or options sold by VSO II. The transaction reported herein represent the exercise of 672 put option contracts on November 14, 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. Shares of Common Stock of the Issuer beneficially owned directly by VSO II or options sold by VSO II. The transaction reported herein represent the exercise of 1,328 put option contracts on November 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. Shares of Common Stock of the Issuer beneficially owned directly by VSO II or options sold by VSO II. The transactions reported herein represent the exercises on November 15, 2019 of (i) 1,500 call option contracts sold by VSO II, and (ii) 59 call option contracts sold by VSO II, each contract representing 100 shares of Issuer Common Stock, by the counterparty and the acquisition of the shares underlying such call 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. Shares of Common Stock of the Issuer beneficially owned directly by VSO III or options sold by VSO III. The transactions reported herein represent the exercises on November 15, 2019 of (i) 2,105 call option contracts sold by VSO III, and (ii) 58 call option contracts sold by VSO III, each contract representing 100 shares of Issuer Common Stock, by the counterparty and the acquisition of the shares underlying such call options by VSO III. VSO GP III, as the general partner of VSO III, may be deemed the beneficial owner of the shares of Common Stock 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 shares of Common Stock 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 shares of Common Stock of the Issuer beneficially owned by VSO III. 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. Shares of Common Stock of the Issuer beneficially owned directly by Series Two or options sold by Series Two. The transaction reported herein represents the exercise on November 15, 2019 of 1,509 call option contracts sold by Series Two, each contract representing 100 shares of Issuer Common Stock, by the counterparty and the acquisition of the shares underlying such call options by Series Two. VIEX GP, as the general partner of Series Two, may be deemed the beneficial owner of the shares of Common Stock 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 shares of Common Stock 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 shares of Common Stock of the Issuer beneficially owned by Series Two. 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 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. These options were exercisable when exercised. /s/ Eric Singer 2019-11-18 VIEX OPPORTUNITIES FUND, LP - SERIES ONE By: VIEX GP, LLC, its General Partner, Name: /s/ Eric Singer, Title: Managing Partner 2019-11-18 VIEX OPPORTUNITIES FUND, LP - SERIES TWO By: VIEX GP, LLC, its General Partner, Name: /s/ Eric Singer, Title: Managing Partner 2019-11-18 VIEX GP, LLC, its General Partner, Name: /s/ Eric Singer, Title: Managing Partner 2019-11-18 VIEX SPECIAL OPPORTUNITIES FUND II, LP By: VIEX Special Opportunities GP II, LLC, its General Partner, Name: /s/ Eric Singer, Title: Managing Member 2019-11-18 VIEX SPECIAL OPPORTUNITIES GP II, LLC Name: /s/ Eric Singer, Title: Managing Member 2019-11-18 VIEX SPECIAL OPPORTUNITIES FUND III, LP By: VIEX Special Opportunities GP III, LLC, its General Partner, Name: /s/ Eric Singer, Title: Managing Member 2019-11-18 VIEX SPECIAL OPPORTUNITIES GP III, LLC Name: /s/ Eric Singer, Title: Managing Member 2019-11-18 VIEX CAPITAL ADVISORS, LLC, its General Partner, Name: /s/ Eric Singer, Title: Managing Partner 2019-11-18