Filing Details
- Accession Number:
- 0001193805-20-000614
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2020-05-20 15:43:56
- Reporting Period:
- 2020-05-18
- Accepted Time:
- 2020-05-20 15:43:56
- SEC Url:
- Form 4 Filing
Issuer
| Cik | Name | Symbol | Sector (SIC) | IRS No |
|---|---|---|---|---|
| 1580808 | A10 Networks Inc. | ATEN | () | 4 |
Insiders
| Cik | Name | Reported Address | Insider Title | Director | Officer | Large Shareholder | Other |
|---|---|---|---|---|---|---|---|
| 1206124 | Lee Chen | C/O A10 Networks, Inc, 2300 Orchard Parkway San Jose CA 95131 | No | No | Yes | No |
Reported Non-Derivative Transactions
| Sec. Name | Acquisiton - Disposition | Date | Amount | Price | Remaning Holdings | Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|---|---|---|---|---|---|
| Common Stock | Disposition | 2020-05-18 | 2,200,000 | $6.00 | 7,670,224 | No | 4 | S | Direct |
| Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|
| No | 4 | S | Direct |
Reported Derivative Transactions
| Sec. Name | Sec. Type | Acquisiton - Disposition | Date | Amount | Price | Amount - 2 | Price - 2 |
|---|---|---|---|---|---|---|---|
| Common Stock | Employee Stock Option (right to buy) | Disposition | 2020-05-18 | 282,500 | $0.00 | 282,500 | $5.52 |
| Remaning Holdings | Exercise Date | Expiration Date | Equity Swap Involved | Transaction Form Type | Transaction Code | Nature of Ownership |
|---|---|---|---|---|---|---|
| 0 | 2016-03-12 | 2020-05-31 | No | 4 | S | Direct |
Reported Non-Derivative Holdings
| Sec. Name | Remaning Holdings | Nature of Ownership | Explanation |
|---|---|---|---|
| Common Stock | 3,200 | Indirect | See footnote |
Footnotes
- The Issuer and Reporting Person entered into a Common Stock Repurchase and Option Exchange Agreement (the "Repurchase Agreement") for the purchase by the Issuer, and sale by the Reporting Person, of 2,200,000 shares of the Issuer's common stock in a privately-negotiated transaction for an aggregate purchase price of $13,200,000.
- Shares held of record by the U/A DTD 07/25/2000 Lee Chen Family Trust, for which the Reporting Person serves as a trustee.
- Represents fully vested stock options.
- Pursuant to the Repurchase Agreement, in addition to the purchase and sale of common stock referenced in footnote 1, the Reporting Person agreed to cancel such options in exchange for the payment by the Issuer to the Reporting Person of $135,600.
- Following Reporting Person's separation from service, the stock options expire if not exercised by May 31, 2020.
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