Filing Details
- Accession Number:
- 0001580808-21-000123
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2021-08-12 16:04:37
- Reporting Period:
- 2021-08-02
- Accepted Time:
- 2021-08-12 16:04:37
- 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 |
|---|---|---|---|---|---|---|---|
| 1570462 | Dhrupad Trivedi | C/O A10 Networks, Inc. 2300 Orchard Parkway San Jose CA 95131 | Chief Executive Officer | Yes | Yes | No | 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 | Acquisiton | 2021-08-02 | 39,587 | $0.00 | 454,596 | No | 4 | M | Direct | |
| Common Stock | Acquisiton | 2021-08-10 | 125,000 | $0.00 | 579,596 | No | 4 | M | Direct | |
| Common Stock | Disposition | 2021-08-10 | 4,597 | $13.34 | 574,999 | No | 4 | S | Direct |
| Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|
| No | 4 | M | Direct | |
| No | 4 | M | Direct | |
| No | 4 | S | Direct |
Reported Derivative Transactions
| Sec. Name | Sec. Type | Acquisiton - Disposition | Date | Amount | Price | Amount - 2 | Price - 2 |
|---|---|---|---|---|---|---|---|
| Common Stock | Performance-based Restricted Stock Units | Disposition | 2021-08-02 | 39,587 | $0.00 | 39,587 | $0.00 |
| Common Stock | Performance-based Restricted Stock Units | Disposition | 2021-08-10 | 125,000 | $0.00 | 125,000 | $0.00 |
| Remaning Holdings | Exercise Date | Expiration Date | Equity Swap Involved | Transaction Form Type | Transaction Code | Nature of Ownership |
|---|---|---|---|---|---|---|
| 79,175 | 2025-02-02 | No | 4 | M | Direct | |
| 0 | 2023-12-12 | No | 4 | M | Direct |
Footnotes
- Performance-Based Restricted Stock Units were previously reported on February 4, 2021, each of which represents a contingent right to receive one share of common stock of ATEN, with vesting subject to the achievement of specified levels of the volume weighted average closing prices of a share of ATEN common stock during any one hundred (100) day trading period between February 2, 2021 and February 2, 2025. The achievement of the first milestone occurred on July 30, 2021, as certified by the compensation committee August 2, 2021, resulting in 39,587 units meeting the appropriate performance-based conditions. However, these shares remain subject to time-based vesting conditions and will therefore vest as to one-third (1/3) on August 9, 2021 and an additional one-third (1/3) on each of the first and second anniversaries of July 30, 2021, subject to continued employment. These shares are reflected on Table I.
- Performance-Based Restricted Stock Units were previously reported on December 16, 2019, each of which represents a contingent right to receive one share of common stock of ATEN, with vesting subject to the achievement of specified levels of the volume weighted average closing prices of a share of ATEN common stock during any one hundred (100) day trading period between December 12, 2019 and December12, 2023. The last achievement date occurred on August 5, 2021, as certified by the compensation committee of ATEN on August 10, 2021, resulting in 125,000 units meeting the appropriate performance-based conditions. However, these shares remain subject to time-based vesting conditions and will therefore vest as to one-third (1/3) on the first, second and third anniversaries of achievement of the milestone, subject to continued employment. These shares are reflected on Table I.
- Represents the number of shares automatically sold, on a non-discretionary basis, to cover tax withholding obligations in connection with the vesting of restricted stock units.
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