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