0000921895-21-002793.txt : 20211203 0000921895-21-002793.hdr.sgml : 20211203 20211203201819 ACCESSION NUMBER: 0000921895-21-002793 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20211201 FILED AS OF DATE: 20211203 DATE AS OF CHANGE: 20211203 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: 211471674 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: 211471673 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: 211471672 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 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: 211471671 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_12032021.xml OWNERSHIP DOCUMENT X0306 4 2021-12-01 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 Common Stock, par value $0.00001 73139 D Common Stock, par value $0.00001 645541 I By Viex Opportunities Fund, LP - Series One Common Stock, par value $0.00001 183036 I By Viex Opportunities Fund, LP - Series Two Common Stock, par value $0.00001 2021-12-01 4 J 0 864720 0 D 178535 I By Viex Special Opportunities Fund II, 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 GP, LLC ("VIEX GP"), VIEX Special Opportunities GP II, LLC ("VSO GP II"), 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 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. Represents a pro-rata distribution of shares to limited partners by VSO II in connection with the wind-down of the fund. 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. /s/ Eric Singer 2021-12-03