0001580808-21-000081.txt : 20210503 0001580808-21-000081.hdr.sgml : 20210503 20210503163046 ACCESSION NUMBER: 0001580808-21-000081 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20210429 FILED AS OF DATE: 20210503 DATE AS OF CHANGE: 20210503 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: 21883970 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: 21883974 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: 21883973 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 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: 21883971 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 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: 21883972 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 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: 2300 ORCHARD PKWY CITY: SAN JOSE STATE: CA ZIP: 95131 BUSINESS PHONE: (408) 325-8668 MAIL ADDRESS: STREET 1: 2300 ORCHARD PKWY CITY: SAN JOSE STATE: CA ZIP: 95131 4 1 wf-form4_162007382014913.xml FORM 4 X0306 4 2021-04-29 0 0001580808 A10 Networks, Inc. ATEN 0001443284 Singer Eric C/O A10 NETWORKS, INC. 2300 ORCHARD PARKWAY SAN JOSE CA 95131 1 0 1 0 0001606750 VIEX Opportunities Fund, LP Series One C/O A10 NETWORKS, INC. 2300 ORCHARD PARKWAY SAN JOSE CA 95131 0 0 1 0 0001659404 VIEX Opportunities Fund, LP - Series Two C/O A10 NETWORKS, INC. 2300 ORCHARD PARKWAY SAN JOSE CA 95131 0 0 1 0 0001619127 VIEX Special Opportunities Fund II, LP C/O A10 NETWORKS, INC. 2300 ORCHARD PARKWAY SAN JOSE CA 95131 0 0 1 0 0001619126 VIEX Special Opportunities Fund III, LP C/O A10 NETWORKS, INC. 2300 ORCHARD PARKWAY SAN JOSE CA 95131 0 0 1 0 Common Stock, par value $0.00001 2021-04-29 4 A 0 16949 0 A 73139 D Common Stock, par value $0.00001 1465781 I By Viex Opportunities Fund, LP - Series One Common Stock, par value $0.00001 482877 I By Viex Opportunities Fund, LP - Series Two Common Stock, par value $0.00001 5255022 I By Viex Special Opportunities Fund II, LP Common Stock, par value $0.00001 487416 I By Viex Special Opportunities Fund III, LP Each share is represented by a Restricted Stock Unit ("RSU"). The RSUs will vest on the earlier of the first anniversary of the grant date or the date of the Issuer's next Annual Meeting, subject to the Reporting Person's continued service as of such date. 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"). 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 any other purpose. 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 bySeries 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 ofeach 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 bySeries 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 memberof 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 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 IIand VIEX Capital, may be deemed the beneficial owner of the securities of the Issuer beneficially owned by VSO II. 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 VSOIII. 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 VSOGP III and VIEX Capital, may be deemed the beneficial owner of the securities of the Issuer beneficially owned by VSO III. /s/ Robert Cochran, Attorney-in-fact for Eric Singer 2021-05-03