0000921895-21-002520.txt : 20211103 0000921895-21-002520.hdr.sgml : 20211103 20211103201518 ACCESSION NUMBER: 0000921895-21-002520 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20211101 FILED AS OF DATE: 20211103 DATE AS OF CHANGE: 20211103 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: 211377490 MAIL ADDRESS: STREET 1: 323 SUNNY ISLES BLVD. STREET 2: SUITE 700 CITY: SUNNY ISLES BEACH STATE: FL ZIP: 33160 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: 211377489 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: 211377488 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: 211377486 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: 211377487 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 form410114025_11032021.xml OWNERSHIP DOCUMENT X0306 4 2021-11-01 0 0001580808 A10 Networks, Inc. ATEN 0001443284 Singer Eric C/O A10 NETWORKS, INC. 2300 ORCHARD PARKWAY SAN JOSE CA 95131 1 0 0 0 0001606750 VIEX Opportunities Fund, LP Series One C/O A10 NETWORKS, INC. 2300 ORCHARD PARKWAY SAN JOSE CA 95131 0 0 0 1 See Explanation of Responses 0001659404 VIEX Opportunities Fund, LP - Series Two C/O A10 NETWORKS, INC. 2300 ORCHARD PARKWAY SAN JOSE CA 95131 0 0 0 1 See Explanation of Responses 0001619127 VIEX Special Opportunities Fund II, LP C/O A10 NETWORKS, INC. 2300 ORCHARD PARKWAY SAN JOSE CA 95131 0 0 0 1 See Explanation of Responses 0001619126 VIEX Special Opportunities Fund III, LP C/O A10 NETWORKS, INC. 2300 ORCHARD PARKWAY SAN JOSE CA 95131 0 0 0 1 See Explanation of Responses Common Stock, par value $0.00001 73139 D Common Stock, par value $0.00001 2021-11-01 4 S 0 346000 16.0076 D 1119781 I By Viex Opportunities Fund, LP - Series One Common Stock, par value $0.00001 2021-11-02 4 S 0 200050 15.3412 D 919731 I By Viex Opportunities Fund, LP - Series One Common Stock, par value $0.00001 2021-11-03 4 S 0 274190 15.7042 D 645541 I By Viex Opportunities Fund, LP - Series One Common Stock, par value $0.00001 2021-11-01 4 S 0 122000 16.0076 D 360877 I By Viex Opportunities Fund, LP - Series Two Common Stock, par value $0.00001 2021-11-02 4 S 0 75019 15.3412 D 285858 I By Viex Opportunities Fund, LP - Series Two Common Stock, par value $0.00001 2021-11-03 4 S 0 102822 15.7042 D 183036 I By Viex Opportunities Fund, LP - Series Two Common Stock, par value $0.00001 2021-11-01 4 S 0 550000 16.0076 D 4705022 I By Viex Special Opportunities Fund II, LP Common Stock, par value $0.00001 2021-11-01 4 J 0 2607705 0 D 2097317 I By Viex Special Opportunities Fund II, LP Common Stock, par value $0.00001 2021-11-02 4 S 0 350087 15.3412 D 1747230 I By Viex Special Opportunities Fund II, LP Common Stock, par value $0.00001 2021-11-03 4 S 0 479832 15.7042 D 1267398 I By Viex Special Opportunities Fund II, LP Common Stock, par value $0.00001 2021-11-01 4 J 0 487416 0 D 0 I By Viex Special Opportunities Fund III, LP 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. The price reported is a weighted average price. These shares were sold in multiple transactions at prices ranging from $15.00 to $18.58 per share. The Reporting Persons undertake to provide to the Issuer, any security holder of the Issuer or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares purchased at each separate price within the range set forth in this footnote 3. 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. The price reported is a weighted average price. These shares were sold in multiple transactions at prices ranging from $15.20 to $15.525 per share. The Reporting Persons undertake to provide to the Issuer, any security holder of the Issuer or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares purchased at each separate price within the range set forth in this footnote 5. The price reported is a weighted average price. These shares were sold in multiple transactions at prices ranging from $15.40 to $16.06 per share. The Reporting Persons undertake to provide to the Issuer, any security holder of the Issuer or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares purchased at each separate price within the range set forth in this footnote 6. 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 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. Represents a pro-rata distribution of shares to limited partners by VSO II. Represents a pro-rata distribution of shares to limited partners by VSO III. Securities of the Issuer that were beneficially owned directly by VSO III. VSO GP III, as the general partner of VSO III, may have been 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 have been 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 have been deemed the beneficial owner of the securities of the Issuer beneficially owned by VSO III. /s/ Eric Singer 2021-11-03