A10 Networks, Inc. — Director's Dealing 2019

Aug 17, 2019

SEC Form 4 — Statement of Changes in Beneficial Ownership

Issuer: A10 Networks, Inc. (ATEN)
CIK: 0001580808
Period of Report: 2019-08-14

Reporting Person: Singer Eric (Director)
Reporting Person: VIEX Opportunities Fund, LP Series One (Director)
Reporting Person: VIEX Opportunities Fund, LP - Series Two (Director)
Reporting Person: VIEX GP, LLC (Director)
Reporting Person: VIEX Special Opportunities Fund II, LP (Director)
Reporting Person: VIEX Special Opportunities GP II, LLC (Director)
Reporting Person: VIEX Special Opportunities Fund III, LP (Director)
Reporting Person: VIEX Special Opportunities GP III, LLC (Director)
Reporting Person: VIEX Capital Advisors, LLC (Director)

Non-Derivative Transactions

Date	Security	Code	Shares	Price	A/D	Holdings After	Ownership
2019-08-14	Common Stock, par value $0.00001	X	45200	$7.50	Acquired	3576422	Indirect
2019-08-15	Common Stock, par value $0.00001	X	217900	$7.50	Acquired	3794322	Indirect

Derivative Transactions

Date	Security	Exercise Price	Code	Shares	A/D	Expiration	Underlying	Ownership
2019-08-14	Put Option (Obligation to Buy)	$7.50	X	452	Disposed	2019-08-16	Common Stock, par value $0.00001 (45200)	Indirect
2019-08-15	Put Option (Obligation to Buy)	$7.50	X	2179	Disposed	2019-08-16	Common Stock, par value $0.00001 (217900)	Indirect

Holdings (Non-Derivative)

Security	Shares	Ownership
Common Stock, par value $0.00001	30120	Direct
Common Stock, par value $0.00001	1658360	Indirect
Common Stock, par value $0.00001	331977	Indirect
Common Stock, par value $0.00001	271116	Indirect

Holdings (Derivative)

Security	Exercise Price	Expiration	Underlying	Shares	Ownership
Call Option (Right to Buy)	$2.50	2019-11-15	Common Stock, par value $0.00001 (150900)	1509	Indirect
Call Option (Right to Buy)	$2.50	2019-11-15	Common Stock, par value $0.00001 (150000)	1500	Indirect
Call Option (Right to Buy)	$5.00	2019-11-15	Common Stock, par value $0.00001 (5900)	59	Indirect
Put Option (Obligation to Buy)	$5.00	2019-08-16	Common Stock, par value $0.00001 (111700)	1117	Indirect
Put Option (Obligation to Buy)	$7.50	2019-11-15	Common Stock, par value $0.00001 (200000)	2000	Indirect
Call Option (Right to Buy)	$2.50	2019-11-15	Common Stock, par value $0.00001 (210500)	2105	Indirect
Call Option (Right to Buy)	$5.00	2019-11-15	Common Stock, par value $0.00001 (5800)	58	Indirect

Footnotes

F1: Shares of Common Stock of A10 Networks, Inc. (the "Issuer") beneficially owned directly by VSO II or options sold by VSO II. The transactions reported herein represent the exercises of (i) 452 put option contracts on August 14, 2019 and (ii) 2,179 put option contracts on August 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.

F2: 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").

F3: 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.

F4: 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.

F5: Securities of A10 Networks, Inc. (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.

F6: 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.

F7: 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.

F8: These options are currently exercisable.