organization · Reporting owner
VIEX Special Opportunities GP III, LLC
Disclosed activity across 2 companies
Sign in to followReported relationships
Latest disclosed role at each company.
| Company | Last reported as | Report date | Published |
|---|---|---|---|
| A10 Networks, Inc.ATEN · Entity 4574 | 10% owner | September 01, 2020 | September 03, 2020 |
Disclosed balances
About these balances
Latest available filing per company, not a reconstructed current portfolio. Matching sequences show the last reported balance with all source rows expandable; grouping alone does not establish account ownership. Do not add unresolved positions together. Filings may omit unchanged positions, and amendments may correct only part of an older disclosure. Jointly reported shares are not necessarily this owner's personal holdings.
A10 Networks, Inc.
Report date September 01, 2020 · Filed September 03, 2020
Jointly reported with Singer Eric, VIEX Opportunities Fund, LP Series One, VIEX Opportunities Fund, LP - Series Two, VIEX Special Opportunities Fund II, LP, VIEX Special Opportunities Fund III, LP, VIEX GP, LLC, VIEX Special Opportunities GP II, LLC, VIEX Capital Advisors, LLC
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common Stock, par value $0.00001SEC Table I · non-derivative | IndirectBy Viex Opportunities Fund, LP - Series One | 1,465,781 |
Reported balance
After 2020-09-01 transaction · row 2
Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source rowRow 2 · 2020-09-01 · Other · Disposed 68,817 · Balance 1,465,781 F4: Represents a distribution of shares of the Issuer from Series One to a limited partner of Series One. 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: 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 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. |
| Common Stock, par value $0.00001SEC Table I · non-derivative | Direct | 56,190 |
Reported balance
Holding disclosure · report date 2020-09-01 · row 1
Holding and transaction disclosures are not merged.
1 source rowRow 1 · Balance 56,190 F1: Certain shares are represented by Restricted Stock Units granted to Eric Singer in connection with his service on A10 Networks, Inc.'s (the "Issuer" board of directors. 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: 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. |
| Common Stock, par value $0.00001SEC Table I · non-derivative | IndirectBy Viex Opportunities Fund, LP - Series Two | 482,877 |
Reported balance
Holding disclosure · report date 2020-09-01 · row 3
Holding and transaction disclosures are not merged.
1 source rowRow 3 · Balance 482,877 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: 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. 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. |
| Common Stock, par value $0.00001SEC Table I · non-derivative | IndirectBy Viex Special Opportunities Fund II, LP | 5,255,022 |
Reported balance
Holding disclosure · report date 2020-09-01 · row 4
Holding and transaction disclosures are not merged.
1 source rowRow 4 · Balance 5,255,022 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: 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. F7: 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. |
| Common Stock, par value $0.00001SEC Table I · non-derivative | IndirectBy Viex Special Opportunities Fund III, LP | 487,416 |
Reported balance
Holding disclosure · report date 2020-09-01 · row 5
Holding and transaction disclosures are not merged.
1 source rowRow 5 · Balance 487,416 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: 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. F8: 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. |
Filing footnotes · ownership attribution and instrument terms
F1: Certain shares are represented by Restricted Stock Units granted to Eric Singer in connection with his service on A10 Networks, Inc.'s (the "Issuer" board of directors.
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: 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.
F4: Represents a distribution of shares of the Issuer from Series One to a limited partner of Series One.
F5: 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.
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 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.
F8: 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.
Past disclosures · reporting ended (1)
No longer tracked through insider filings. These historical balances do not imply present ownership or a zero position.
QUANTUM CORP /DE/
Report date December 10, 2019 · Filed December 13, 2019
Jointly reported with Singer Eric, VIEX Opportunities Fund, LP Series One, VIEX Opportunities Fund, LP - Series Two, VIEX Special Opportunities Fund III, LP, VIEX GP, LLC, VIEX Capital Advisors, LLC
Section 16 reporting ended · disclosed 2019-12-13. Current position is not established by this disclosure.
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common Stock, par value $0.001SEC Table I · non-derivative | IndirectBy Viex Opportunities Fund, LP - Series One | 835,679 |
Reported balance
After 2019-12-10 transaction · row 2
Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source rowRow 2 · 2019-12-10 · Sale · Disposed 90,304 · Balance 835,679 F1: 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 III, LP ("VSO III"), VIEX GP, LLC ("VIEX GP"), Viex Special Opportunities GP III, LLC ("VSO GP III"), VIEX Capital Advisors, LLC ("VIEX Capital"), and Eric Singer (collectively, the "Reporting Persons"). F2: As of the close of business on December 10, 2019, the Reporting Persons ceased to be holders of an aggregate of 10% or more of Quantum Corporation's (the "Issuer") outstanding shares of Common Stock. 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. F4: 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. |
| Common Stock, par value $0.001SEC Table I · non-derivative | IndirectBy Viex Opportunities Fund, LP - Series Two | 159,421 |
Reported balance
After 2019-12-10 transaction · row 3
Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source rowRow 3 · 2019-12-10 · Sale · Disposed 17,227 · Balance 159,421 F1: 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 III, LP ("VSO III"), VIEX GP, LLC ("VIEX GP"), Viex Special Opportunities GP III, LLC ("VSO GP III"), VIEX Capital Advisors, LLC ("VIEX Capital"), and Eric Singer (collectively, the "Reporting Persons"). F2: As of the close of business on December 10, 2019, the Reporting Persons ceased to be holders of an aggregate of 10% or more of Quantum Corporation's (the "Issuer") outstanding shares of Common Stock. 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 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. |
| Common Stock, par value $0.001SEC Table I · non-derivative | IndirectBy Viex Special Opportunities Fund III, LP | 2,336,364 |
Reported balance
After 2019-12-10 transaction · row 4
Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source rowRow 4 · 2019-12-10 · Sale · Disposed 252,469 · Balance 2,336,364 F1: 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 III, LP ("VSO III"), VIEX GP, LLC ("VIEX GP"), Viex Special Opportunities GP III, LLC ("VSO GP III"), VIEX Capital Advisors, LLC ("VIEX Capital"), and Eric Singer (collectively, the "Reporting Persons"). F2: As of the close of business on December 10, 2019, the Reporting Persons ceased to be holders of an aggregate of 10% or more of Quantum Corporation's (the "Issuer") outstanding shares of Common Stock. 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. F6: 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. |
| Common Stock, par value $0.001SEC Table I · non-derivative | Direct | 66,681 |
Reported balance
Holding disclosure · report date 2019-12-10 · row 1
Holding and transaction disclosures are not merged.
1 source rowRow 1 · Balance 66,681 F1: 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 III, LP ("VSO III"), VIEX GP, LLC ("VIEX GP"), Viex Special Opportunities GP III, LLC ("VSO GP III"), VIEX Capital Advisors, LLC ("VIEX Capital"), and Eric Singer (collectively, the "Reporting Persons"). F2: As of the close of business on December 10, 2019, the Reporting Persons ceased to be holders of an aggregate of 10% or more of Quantum Corporation's (the "Issuer") outstanding shares of Common Stock. 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. F3: Each share is represented by a restricted stock unit, all of which are fully vested and each of which represents a contingent right to receive one share of common stock of the Issuer. |
Filing footnotes · ownership attribution and instrument terms
F1: 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 III, LP ("VSO III"), VIEX GP, LLC ("VIEX GP"), Viex Special Opportunities GP III, LLC ("VSO GP III"), VIEX Capital Advisors, LLC ("VIEX Capital"), and Eric Singer (collectively, the "Reporting Persons").
F2: As of the close of business on December 10, 2019, the Reporting Persons ceased to be holders of an aggregate of 10% or more of Quantum Corporation's (the "Issuer") outstanding shares of Common Stock. 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.
F3: Each share is represented by a restricted stock unit, all of which are fully vested and each of which represents a contingent right to receive one share of common stock of the Issuer.
F4: 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.
F5: 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.
F6: 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.
Transaction history
JSON APIPurchases/sales include open-market and private transactions. Plan disclosure applies to the filing; individual rows may differ. “Not disclosed” is not “unplanned.”
The cutoff filters transaction history only. Company summaries and owner relationships show the latest available disclosures. Parser corrections can improve historical records.
| Transaction date | Company | Activity / security | Shares / units | Reported price | Reported value | Details |
|---|---|---|---|---|---|---|
| September 01, 2020 Filed Sep 3, 2020 16:17 UTC | A10 Networks, Inc. ATEN · Entity 4574 | OtherCommon Stock, par value $0.00001 | 68,817 | $0.00 | $0.00 |
DisclosureSEC source: 0001580808-20-000091 · wf-form4_159916424208980.xml · nonDerivative · entry 2 Singer Eric · CIK 0001443284 · Director · 10% owner VIEX Opportunities Fund, LP Series One · CIK 0001606750 · 10% owner VIEX Opportunities Fund, LP - Series Two · CIK 0001659404 · 10% owner VIEX Special Opportunities Fund II, LP · CIK 0001619127 · 10% owner VIEX Special Opportunities Fund III, LP · CIK 0001619126 · 10% owner VIEX GP, LLC · CIK 0001654852 · 10% owner VIEX Special Opportunities GP II, LLC · CIK 0001658891 · 10% owner VIEX Special Opportunities GP III, LLC · CIK 0001676049 · 10% owner VIEX Capital Advisors, LLC · CIK 0001619125 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · By Viex Opportunities Fund, LP - Series One Disclosed balance after: 1,465,781 F4 · shares: Represents a distribution of shares of the Issuer from Series One to a limited partner of Series One. F2 · ownership.nature: 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 · ownership.nature: 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 · ownership.nature: 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. Read SEC document |
| August 03, 2020 Filed Aug 5, 2020 16:12 UTC | A10 Networks, Inc. ATEN · Entity 4574 | OtherCommon Stock, par value $0.00001 | 123,762 | $0.00 | $0.00 |
DisclosureSEC source: 0001580808-20-000087 · wf-form4_159665835222629.xml · nonDerivative · entry 2 Singer Eric · CIK 0001443284 · Director · 10% owner VIEX Opportunities Fund, LP Series One · CIK 0001606750 · 10% owner VIEX Opportunities Fund, LP - Series Two · CIK 0001659404 · 10% owner VIEX Special Opportunities Fund II, LP · CIK 0001619127 · 10% owner VIEX Special Opportunities Fund III, LP · CIK 0001619126 · 10% owner VIEX GP, LLC · CIK 0001654852 · 10% owner VIEX Special Opportunities GP II, LLC · CIK 0001658891 · 10% owner VIEX Special Opportunities GP III, LLC · CIK 0001676049 · 10% owner VIEX Capital Advisors, LLC · CIK 0001619125 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · By Viex Opportunities Fund, LP - Series One Disclosed balance after: 1,534,598 F3 · shares: Represents a distribution of shares of the Issuer from Series One to a limited partner of Series One for no consideration. F2 · ownership.nature: 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 Mr. Singer (collectively, the "Reporting Persons"). F4 · ownership.nature: 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. F5 · ownership.nature: 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 the inclusion of these shares in 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. Read SEC document |
| December 10, 2019 Filed Dec 13, 2019 01:04 UTC | QUANTUM CORP /DE/ QMCO · Entity 4987 | SaleCommon Stock, par value $0.001 | 252,469 | $5.78 | $1,458,008.48 |
DisclosureSEC source: 0000921895-19-002984 · form410114016_12122019.xml · nonDerivative · entry 4 Singer Eric · CIK 0001443284 · 10% owner · See Explanation of Responses VIEX Opportunities Fund, LP Series One · CIK 0001606750 · See Explanation of Responses VIEX Opportunities Fund, LP - Series Two · CIK 0001659404 · See Explanation of Responses VIEX Special Opportunities Fund III, LP · CIK 0001619126 · See Explanation of Responses VIEX GP, LLC · CIK 0001654852 · See Explanation of Responses VIEX Special Opportunities GP III, LLC · CIK 0001676049 · See Explanation of Responses VIEX Capital Advisors, LLC · CIK 0001619125 · See Explanation of Responses Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · By Viex Special Opportunities Fund III, LP Disclosed balance after: 2,336,364 F1 · security: 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 III, LP ("VSO III"), VIEX GP, LLC ("VIEX GP"), Viex Special Opportunities GP III, LLC ("VSO GP III"), VIEX Capital Advisors, LLC ("VIEX Capital"), and Eric Singer (collectively, the "Reporting Persons"). F2 · security: As of the close of business on December 10, 2019, the Reporting Persons ceased to be holders of an aggregate of 10% or more of Quantum Corporation's (the "Issuer") outstanding shares of Common Stock. 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. F6 · ownership.nature: 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. Read SEC document |
| December 10, 2019 Filed Dec 13, 2019 01:04 UTC | QUANTUM CORP /DE/ QMCO · Entity 4987 | SaleCommon Stock, par value $0.001 | 17,227 | $5.78 | $99,485.93 |
DisclosureSEC source: 0000921895-19-002984 · form410114016_12122019.xml · nonDerivative · entry 3 Singer Eric · CIK 0001443284 · 10% owner · See Explanation of Responses VIEX Opportunities Fund, LP Series One · CIK 0001606750 · See Explanation of Responses VIEX Opportunities Fund, LP - Series Two · CIK 0001659404 · See Explanation of Responses VIEX Special Opportunities Fund III, LP · CIK 0001619126 · See Explanation of Responses VIEX GP, LLC · CIK 0001654852 · See Explanation of Responses VIEX Special Opportunities GP III, LLC · CIK 0001676049 · See Explanation of Responses VIEX Capital Advisors, LLC · CIK 0001619125 · See Explanation of Responses Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · By Viex Opportunities Fund, LP - Series Two Disclosed balance after: 159,421 F1 · security: 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 III, LP ("VSO III"), VIEX GP, LLC ("VIEX GP"), Viex Special Opportunities GP III, LLC ("VSO GP III"), VIEX Capital Advisors, LLC ("VIEX Capital"), and Eric Singer (collectively, the "Reporting Persons"). F2 · security: As of the close of business on December 10, 2019, the Reporting Persons ceased to be holders of an aggregate of 10% or more of Quantum Corporation's (the "Issuer") outstanding shares of Common Stock. 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 · ownership.nature: 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. Read SEC document |
| December 10, 2019 Filed Dec 13, 2019 01:04 UTC | QUANTUM CORP /DE/ QMCO · Entity 4987 | SaleCommon Stock, par value $0.001 | 90,304 | $5.78 | $521,505.60 |
DisclosureSEC source: 0000921895-19-002984 · form410114016_12122019.xml · nonDerivative · entry 2 Singer Eric · CIK 0001443284 · 10% owner · See Explanation of Responses VIEX Opportunities Fund, LP Series One · CIK 0001606750 · See Explanation of Responses VIEX Opportunities Fund, LP - Series Two · CIK 0001659404 · See Explanation of Responses VIEX Special Opportunities Fund III, LP · CIK 0001619126 · See Explanation of Responses VIEX GP, LLC · CIK 0001654852 · See Explanation of Responses VIEX Special Opportunities GP III, LLC · CIK 0001676049 · See Explanation of Responses VIEX Capital Advisors, LLC · CIK 0001619125 · See Explanation of Responses Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · By Viex Opportunities Fund, LP - Series One Disclosed balance after: 835,679 F1 · security: 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 III, LP ("VSO III"), VIEX GP, LLC ("VIEX GP"), Viex Special Opportunities GP III, LLC ("VSO GP III"), VIEX Capital Advisors, LLC ("VIEX Capital"), and Eric Singer (collectively, the "Reporting Persons"). F2 · security: As of the close of business on December 10, 2019, the Reporting Persons ceased to be holders of an aggregate of 10% or more of Quantum Corporation's (the "Issuer") outstanding shares of Common Stock. 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. F4 · ownership.nature: 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. Read SEC document |
| November 15, 2019 Filed Nov 18, 2019 16:27 UTC | A10 Networks, Inc. ATEN · Entity 4574 | OtherCall Option (Right to Buy) · Derivative | 1,509 | $0.00 Strike: $2.50 | $0.00 |
DisclosureSEC source: 0001209191-19-056945 · doc4.xml · derivative · entry 16 Singer Eric · CIK 0001443284 · Director VIEX Opportunities Fund, LP Series One · CIK 0001606750 · Director VIEX Opportunities Fund, LP - Series Two · CIK 0001659404 · Director VIEX GP, LLC · CIK 0001654852 · Director VIEX Special Opportunities Fund II, LP · CIK 0001619127 · Director VIEX Special Opportunities GP II, LLC · CIK 0001658891 · Director VIEX Special Opportunities Fund III, LP · CIK 0001619126 · Director VIEX Special Opportunities GP III, LLC · CIK 0001676049 · Director VIEX Capital Advisors, LLC · CIK 0001619125 · Director Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · By Viex Opportunities Fund, LP - Series Two Disclosed balance after: 0 Underlying: Common Stock, par value $0.00001 · 150,900 shares Expires 2019-11-15 F9 · kind: Shares of Common Stock of the Issuer beneficially owned directly by Series Two or options sold by Series Two. The transaction reported herein represents the exercise on November 15, 2019 of 1,509 call option contracts sold by Series Two, each contract representing 100 shares of Issuer Common Stock, by the counterparty and the acquisition of the shares underlying such call options by Series Two. VIEX GP, as the general partner of Series Two, may be deemed the beneficial owner of the shares of Common Stock 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 shares of Common Stock 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 shares of Common Stock of the Issuer beneficially owned by Series Two. F12 · derivative.exercise_date: These options were exercisable when exercised. F2 · ownership.nature: 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"). F4 · ownership.nature: 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. F10 · ownership.nature: 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. Read SEC document |
| November 15, 2019 Filed Nov 18, 2019 16:27 UTC | A10 Networks, Inc. ATEN · Entity 4574 | OtherCall Option (Right to Buy) · Derivative | 58 | $0.00 Strike: $5.00 | $0.00 |
DisclosureSEC source: 0001209191-19-056945 · doc4.xml · derivative · entry 15 Singer Eric · CIK 0001443284 · Director VIEX Opportunities Fund, LP Series One · CIK 0001606750 · Director VIEX Opportunities Fund, LP - Series Two · CIK 0001659404 · Director VIEX GP, LLC · CIK 0001654852 · Director VIEX Special Opportunities Fund II, LP · CIK 0001619127 · Director VIEX Special Opportunities GP II, LLC · CIK 0001658891 · Director VIEX Special Opportunities Fund III, LP · CIK 0001619126 · Director VIEX Special Opportunities GP III, LLC · CIK 0001676049 · Director VIEX Capital Advisors, LLC · CIK 0001619125 · Director Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · By Viex Special Opportunities Fund III, LP Disclosed balance after: 0 Underlying: Common Stock, par value $0.00001 · 5,800 shares Expires 2019-11-15 F7 · kind: Shares of Common Stock of the Issuer beneficially owned directly by VSO III or options sold by VSO III. The transactions reported herein represent the exercises on November 15, 2019 of (i) 2,105 call option contracts sold by VSO III, and (ii) 58 call option contracts sold by VSO III, each contract representing 100 shares of Issuer Common Stock, by the counterparty and the acquisition of the shares underlying such call options by VSO III. VSO GP III, as the general partner of VSO III, may be deemed the beneficial owner of the shares of Common Stock 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 shares of Common Stock 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 shares of Common Stock of the Issuer beneficially owned by VSO III. F12 · derivative.exercise_date: These options were exercisable when exercised. F2 · ownership.nature: 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"). F4 · ownership.nature: 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. F8 · ownership.nature: 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. Read SEC document |
| November 15, 2019 Filed Nov 18, 2019 16:27 UTC | A10 Networks, Inc. ATEN · Entity 4574 | OtherCall Option (Right to Buy) · Derivative | 2,105 | $0.00 Strike: $2.50 | $0.00 |
DisclosureSEC source: 0001209191-19-056945 · doc4.xml · derivative · entry 14 Singer Eric · CIK 0001443284 · Director VIEX Opportunities Fund, LP Series One · CIK 0001606750 · Director VIEX Opportunities Fund, LP - Series Two · CIK 0001659404 · Director VIEX GP, LLC · CIK 0001654852 · Director VIEX Special Opportunities Fund II, LP · CIK 0001619127 · Director VIEX Special Opportunities GP II, LLC · CIK 0001658891 · Director VIEX Special Opportunities Fund III, LP · CIK 0001619126 · Director VIEX Special Opportunities GP III, LLC · CIK 0001676049 · Director VIEX Capital Advisors, LLC · CIK 0001619125 · Director Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · By Viex Special Opportunities Fund III, LP Disclosed balance after: 0 Underlying: Common Stock, par value $0.00001 · 210,500 shares Expires 2019-11-15 F7 · kind: Shares of Common Stock of the Issuer beneficially owned directly by VSO III or options sold by VSO III. The transactions reported herein represent the exercises on November 15, 2019 of (i) 2,105 call option contracts sold by VSO III, and (ii) 58 call option contracts sold by VSO III, each contract representing 100 shares of Issuer Common Stock, by the counterparty and the acquisition of the shares underlying such call options by VSO III. VSO GP III, as the general partner of VSO III, may be deemed the beneficial owner of the shares of Common Stock 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 shares of Common Stock 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 shares of Common Stock of the Issuer beneficially owned by VSO III. F12 · derivative.exercise_date: These options were exercisable when exercised. F2 · ownership.nature: 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"). F4 · ownership.nature: 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. F8 · ownership.nature: 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. Read SEC document |
| November 15, 2019 Filed Nov 18, 2019 16:27 UTC | A10 Networks, Inc. ATEN · Entity 4574 | OtherCall Option (Right to Buy) · Derivative | 1,500 | $0.00 Strike: $2.50 | $0.00 |
DisclosureSEC source: 0001209191-19-056945 · doc4.xml · derivative · entry 13 Singer Eric · CIK 0001443284 · Director VIEX Opportunities Fund, LP Series One · CIK 0001606750 · Director VIEX Opportunities Fund, LP - Series Two · CIK 0001659404 · Director VIEX GP, LLC · CIK 0001654852 · Director VIEX Special Opportunities Fund II, LP · CIK 0001619127 · Director VIEX Special Opportunities GP II, LLC · CIK 0001658891 · Director VIEX Special Opportunities Fund III, LP · CIK 0001619126 · Director VIEX Special Opportunities GP III, LLC · CIK 0001676049 · Director VIEX Capital Advisors, LLC · CIK 0001619125 · Director Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · By Viex Special Opportunities Fund II, LP Disclosed balance after: 0 Underlying: Common Stock, par value $0.00001 · 150,000 shares Expires 2019-11-15 F6 · kind: Shares of Common Stock of the Issuer beneficially owned directly by VSO II or options sold by VSO II. The transactions reported herein represent the exercises on November 15, 2019 of (i) 1,500 call option contracts sold by VSO II, and (ii) 59 call option contracts sold by VSO II, each contract representing 100 shares of Issuer Common Stock, by the counterparty and the acquisition of the shares underlying such call 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. F12 · derivative.exercise_date: These options were exercisable when exercised. F2 · ownership.nature: 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 · ownership.nature: 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 · ownership.nature: 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. Read SEC document |
| November 15, 2019 Filed Nov 18, 2019 16:27 UTC | A10 Networks, Inc. ATEN · Entity 4574 | OtherCall Option (Right to Buy) · Derivative | 59 | $0.00 Strike: $5.00 | $0.00 |
DisclosureSEC source: 0001209191-19-056945 · doc4.xml · derivative · entry 12 Singer Eric · CIK 0001443284 · Director VIEX Opportunities Fund, LP Series One · CIK 0001606750 · Director VIEX Opportunities Fund, LP - Series Two · CIK 0001659404 · Director VIEX GP, LLC · CIK 0001654852 · Director VIEX Special Opportunities Fund II, LP · CIK 0001619127 · Director VIEX Special Opportunities GP II, LLC · CIK 0001658891 · Director VIEX Special Opportunities Fund III, LP · CIK 0001619126 · Director VIEX Special Opportunities GP III, LLC · CIK 0001676049 · Director VIEX Capital Advisors, LLC · CIK 0001619125 · Director Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · By Viex Special Opportunities Fund II, LP Disclosed balance after: 0 Underlying: Common Stock, par value $0.00001 · 5,900 shares Expires 2019-11-15 F6 · kind: Shares of Common Stock of the Issuer beneficially owned directly by VSO II or options sold by VSO II. The transactions reported herein represent the exercises on November 15, 2019 of (i) 1,500 call option contracts sold by VSO II, and (ii) 59 call option contracts sold by VSO II, each contract representing 100 shares of Issuer Common Stock, by the counterparty and the acquisition of the shares underlying such call 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. F12 · derivative.exercise_date: These options were exercisable when exercised. F2 · ownership.nature: 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 · ownership.nature: 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 · ownership.nature: 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. Read SEC document |
| November 15, 2019 Filed Nov 18, 2019 16:27 UTC | A10 Networks, Inc. ATEN · Entity 4574 | OtherPut Option (Obligation to Buy) · Derivative | 1,328 | $0.00 Strike: $7.50 | $0.00 |
DisclosureSEC source: 0001209191-19-056945 · doc4.xml · derivative · entry 11 Singer Eric · CIK 0001443284 · Director VIEX Opportunities Fund, LP Series One · CIK 0001606750 · Director VIEX Opportunities Fund, LP - Series Two · CIK 0001659404 · Director VIEX GP, LLC · CIK 0001654852 · Director VIEX Special Opportunities Fund II, LP · CIK 0001619127 · Director VIEX Special Opportunities GP II, LLC · CIK 0001658891 · Director VIEX Special Opportunities Fund III, LP · CIK 0001619126 · Director VIEX Special Opportunities GP III, LLC · CIK 0001676049 · Director VIEX Capital Advisors, LLC · CIK 0001619125 · Director Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · By Viex Special Opportunities Fund II, LP Disclosed balance after: 0 Underlying: Common Stock, par value $0.00001 · 132,800 shares Expires 2019-11-15 F5 · kind: Shares of Common Stock of the Issuer beneficially owned directly by VSO II or options sold by VSO II. The transaction reported herein represent the exercise of 1,328 put option contracts on November 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. F12 · derivative.exercise_date: These options were exercisable when exercised. F2 · ownership.nature: 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 · ownership.nature: 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 · ownership.nature: 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. Read SEC document |
| November 15, 2019 Filed Nov 18, 2019 16:27 UTC | A10 Networks, Inc. ATEN · Entity 4574 | OtherCommon Stock, par value $0.00001 | 150,900 | $2.50 | $377,250.00 |
DisclosureSEC source: 0001209191-19-056945 · doc4.xml · nonDerivative · entry 7 Singer Eric · CIK 0001443284 · Director VIEX Opportunities Fund, LP Series One · CIK 0001606750 · Director VIEX Opportunities Fund, LP - Series Two · CIK 0001659404 · Director VIEX GP, LLC · CIK 0001654852 · Director VIEX Special Opportunities Fund II, LP · CIK 0001619127 · Director VIEX Special Opportunities GP II, LLC · CIK 0001658891 · Director VIEX Special Opportunities Fund III, LP · CIK 0001619126 · Director VIEX Special Opportunities GP III, LLC · CIK 0001676049 · Director VIEX Capital Advisors, LLC · CIK 0001619125 · Director Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · By Viex Opportunities Fund, LP - Series Two Disclosed balance after: 482,877 F9 · kind: Shares of Common Stock of the Issuer beneficially owned directly by Series Two or options sold by Series Two. The transaction reported herein represents the exercise on November 15, 2019 of 1,509 call option contracts sold by Series Two, each contract representing 100 shares of Issuer Common Stock, by the counterparty and the acquisition of the shares underlying such call options by Series Two. VIEX GP, as the general partner of Series Two, may be deemed the beneficial owner of the shares of Common Stock 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 shares of Common Stock 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 shares of Common Stock of the Issuer beneficially owned by Series Two. F2 · ownership.nature: 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"). F4 · ownership.nature: 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. F10 · ownership.nature: 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. Read SEC document |
| November 15, 2019 Filed Nov 18, 2019 16:27 UTC | A10 Networks, Inc. ATEN · Entity 4574 | OtherCommon Stock, par value $0.00001 | 210,500 | $2.50 | $526,250.00 |
DisclosureSEC source: 0001209191-19-056945 · doc4.xml · nonDerivative · entry 6 Singer Eric · CIK 0001443284 · Director VIEX Opportunities Fund, LP Series One · CIK 0001606750 · Director VIEX Opportunities Fund, LP - Series Two · CIK 0001659404 · Director VIEX GP, LLC · CIK 0001654852 · Director VIEX Special Opportunities Fund II, LP · CIK 0001619127 · Director VIEX Special Opportunities GP II, LLC · CIK 0001658891 · Director VIEX Special Opportunities Fund III, LP · CIK 0001619126 · Director VIEX Special Opportunities GP III, LLC · CIK 0001676049 · Director VIEX Capital Advisors, LLC · CIK 0001619125 · Director Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · By Viex Special Opportunities Fund III, LP Disclosed balance after: 487,416 F7 · kind: Shares of Common Stock of the Issuer beneficially owned directly by VSO III or options sold by VSO III. The transactions reported herein represent the exercises on November 15, 2019 of (i) 2,105 call option contracts sold by VSO III, and (ii) 58 call option contracts sold by VSO III, each contract representing 100 shares of Issuer Common Stock, by the counterparty and the acquisition of the shares underlying such call options by VSO III. VSO GP III, as the general partner of VSO III, may be deemed the beneficial owner of the shares of Common Stock 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 shares of Common Stock 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 shares of Common Stock of the Issuer beneficially owned by VSO III. F2 · ownership.nature: 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"). F4 · ownership.nature: 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. F8 · ownership.nature: 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. Read SEC document |
| November 15, 2019 Filed Nov 18, 2019 16:27 UTC | A10 Networks, Inc. ATEN · Entity 4574 | OtherCommon Stock, par value $0.0000 | 5,800 | $5.00 | $29,000.00 |
DisclosureSEC source: 0001209191-19-056945 · doc4.xml · nonDerivative · entry 5 Singer Eric · CIK 0001443284 · Director VIEX Opportunities Fund, LP Series One · CIK 0001606750 · Director VIEX Opportunities Fund, LP - Series Two · CIK 0001659404 · Director VIEX GP, LLC · CIK 0001654852 · Director VIEX Special Opportunities Fund II, LP · CIK 0001619127 · Director VIEX Special Opportunities GP II, LLC · CIK 0001658891 · Director VIEX Special Opportunities Fund III, LP · CIK 0001619126 · Director VIEX Special Opportunities GP III, LLC · CIK 0001676049 · Director VIEX Capital Advisors, LLC · CIK 0001619125 · Director Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · By Viex Special Opportunities Fund III, LP Disclosed balance after: 276,916 F7 · kind: Shares of Common Stock of the Issuer beneficially owned directly by VSO III or options sold by VSO III. The transactions reported herein represent the exercises on November 15, 2019 of (i) 2,105 call option contracts sold by VSO III, and (ii) 58 call option contracts sold by VSO III, each contract representing 100 shares of Issuer Common Stock, by the counterparty and the acquisition of the shares underlying such call options by VSO III. VSO GP III, as the general partner of VSO III, may be deemed the beneficial owner of the shares of Common Stock 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 shares of Common Stock 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 shares of Common Stock of the Issuer beneficially owned by VSO III. F2 · ownership.nature: 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"). Read SEC document |
| November 15, 2019 Filed Nov 18, 2019 16:27 UTC | A10 Networks, Inc. ATEN · Entity 4574 | OtherCommon Stock, par value $0.00001 | 150,000 | $2.50 | $375,000.00 |
DisclosureSEC source: 0001209191-19-056945 · doc4.xml · nonDerivative · entry 4 Singer Eric · CIK 0001443284 · Director VIEX Opportunities Fund, LP Series One · CIK 0001606750 · Director VIEX Opportunities Fund, LP - Series Two · CIK 0001659404 · Director VIEX GP, LLC · CIK 0001654852 · Director VIEX Special Opportunities Fund II, LP · CIK 0001619127 · Director VIEX Special Opportunities GP II, LLC · CIK 0001658891 · Director VIEX Special Opportunities Fund III, LP · CIK 0001619126 · Director VIEX Special Opportunities GP III, LLC · CIK 0001676049 · Director VIEX Capital Advisors, LLC · CIK 0001619125 · Director Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · By Viex Special Opportunities Fund II, LP Disclosed balance after: 5,255,022 F6 · kind: Shares of Common Stock of the Issuer beneficially owned directly by VSO II or options sold by VSO II. The transactions reported herein represent the exercises on November 15, 2019 of (i) 1,500 call option contracts sold by VSO II, and (ii) 59 call option contracts sold by VSO II, each contract representing 100 shares of Issuer Common Stock, by the counterparty and the acquisition of the shares underlying such call 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 · ownership.nature: 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 · ownership.nature: 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 · ownership.nature: 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. Read SEC document |
| November 15, 2019 Filed Nov 18, 2019 16:27 UTC | A10 Networks, Inc. ATEN · Entity 4574 | OtherCommon Stock, par value $0.00001 | 5,900 | $5.00 | $29,500.00 |
DisclosureSEC source: 0001209191-19-056945 · doc4.xml · nonDerivative · entry 3 Singer Eric · CIK 0001443284 · Director VIEX Opportunities Fund, LP Series One · CIK 0001606750 · Director VIEX Opportunities Fund, LP - Series Two · CIK 0001659404 · Director VIEX GP, LLC · CIK 0001654852 · Director VIEX Special Opportunities Fund II, LP · CIK 0001619127 · Director VIEX Special Opportunities GP II, LLC · CIK 0001658891 · Director VIEX Special Opportunities Fund III, LP · CIK 0001619126 · Director VIEX Special Opportunities GP III, LLC · CIK 0001676049 · Director VIEX Capital Advisors, LLC · CIK 0001619125 · Director Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · By Viex Special Opportunities Fund II, LP Disclosed balance after: 5,105,022 F6 · kind: Shares of Common Stock of the Issuer beneficially owned directly by VSO II or options sold by VSO II. The transactions reported herein represent the exercises on November 15, 2019 of (i) 1,500 call option contracts sold by VSO II, and (ii) 59 call option contracts sold by VSO II, each contract representing 100 shares of Issuer Common Stock, by the counterparty and the acquisition of the shares underlying such call 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 · ownership.nature: 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 · ownership.nature: 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 · ownership.nature: 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. Read SEC document |
| November 15, 2019 Filed Nov 18, 2019 16:27 UTC | A10 Networks, Inc. ATEN · Entity 4574 | OtherCommon Stock, par value $0.00001 | 132,800 | $7.50 | $996,000.00 |
DisclosureSEC source: 0001209191-19-056945 · doc4.xml · nonDerivative · entry 2 Singer Eric · CIK 0001443284 · Director VIEX Opportunities Fund, LP Series One · CIK 0001606750 · Director VIEX Opportunities Fund, LP - Series Two · CIK 0001659404 · Director VIEX GP, LLC · CIK 0001654852 · Director VIEX Special Opportunities Fund II, LP · CIK 0001619127 · Director VIEX Special Opportunities GP II, LLC · CIK 0001658891 · Director VIEX Special Opportunities Fund III, LP · CIK 0001619126 · Director VIEX Special Opportunities GP III, LLC · CIK 0001676049 · Director VIEX Capital Advisors, LLC · CIK 0001619125 · Director Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · By Viex Special Opportunities Fund II, LP Disclosed balance after: 5,099,122 F5 · kind: Shares of Common Stock of the Issuer beneficially owned directly by VSO II or options sold by VSO II. The transaction reported herein represent the exercise of 1,328 put option contracts on November 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 · ownership.nature: 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 · ownership.nature: 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 · ownership.nature: 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. Read SEC document |
| November 14, 2019 Filed Nov 18, 2019 16:27 UTC | A10 Networks, Inc. ATEN · Entity 4574 | OtherPut Option (Obligation to Buy) · Derivative | 672 | $0.00 Strike: $7.50 | $0.00 |
DisclosureSEC source: 0001209191-19-056945 · doc4.xml · derivative · entry 10 Singer Eric · CIK 0001443284 · Director VIEX Opportunities Fund, LP Series One · CIK 0001606750 · Director VIEX Opportunities Fund, LP - Series Two · CIK 0001659404 · Director VIEX GP, LLC · CIK 0001654852 · Director VIEX Special Opportunities Fund II, LP · CIK 0001619127 · Director VIEX Special Opportunities GP II, LLC · CIK 0001658891 · Director VIEX Special Opportunities Fund III, LP · CIK 0001619126 · Director VIEX Special Opportunities GP III, LLC · CIK 0001676049 · Director VIEX Capital Advisors, LLC · CIK 0001619125 · Director Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · By Viex Special Opportunities Fund II, LP Disclosed balance after: 1,328 Underlying: Common Stock, par value $0.00001 · 67,200 shares Expires 2019-11-15 F1 · kind: Shares of Common Stock of A10 Networks, Inc. (the "Issuer") beneficially owned directly by VSO II or options sold by VSO II. The transaction reported herein represent the exercise of 672 put option contracts on November 14, 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. F12 · derivative.exercise_date: These options were exercisable when exercised. F2 · ownership.nature: 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 · ownership.nature: 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 · ownership.nature: 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. Read SEC document |
| November 14, 2019 Filed Nov 18, 2019 16:27 UTC | A10 Networks, Inc. ATEN · Entity 4574 | OtherCommon Stock, par value $0.00001 | 67,200 | $7.50 | $504,000.00 |
DisclosureSEC source: 0001209191-19-056945 · doc4.xml · nonDerivative · entry 1 Singer Eric · CIK 0001443284 · Director VIEX Opportunities Fund, LP Series One · CIK 0001606750 · Director VIEX Opportunities Fund, LP - Series Two · CIK 0001659404 · Director VIEX GP, LLC · CIK 0001654852 · Director VIEX Special Opportunities Fund II, LP · CIK 0001619127 · Director VIEX Special Opportunities GP II, LLC · CIK 0001658891 · Director VIEX Special Opportunities Fund III, LP · CIK 0001619126 · Director VIEX Special Opportunities GP III, LLC · CIK 0001676049 · Director VIEX Capital Advisors, LLC · CIK 0001619125 · Director Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · By Viex Special Opportunities Fund II, LP Disclosed balance after: 4,966,322 F1 · kind: Shares of Common Stock of A10 Networks, Inc. (the "Issuer") beneficially owned directly by VSO II or options sold by VSO II. The transaction reported herein represent the exercise of 672 put option contracts on November 14, 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 · ownership.nature: 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 · ownership.nature: 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 · ownership.nature: 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. Read SEC document |
| August 16, 2019 Filed Aug 19, 2019 17:31 UTC | A10 Networks, Inc. ATEN · Entity 4574 | OtherPut Option (Obligation to Buy) · Derivative | 1,117 | $0.00 Strike: $5.00 | $0.00 |
DisclosureSEC source: 0001209191-19-046654 · doc4.xml · derivative · entry 7 Singer Eric · CIK 0001443284 · Director VIEX Opportunities Fund, LP Series One · CIK 0001606750 · Director VIEX Opportunities Fund, LP - Series Two · CIK 0001659404 · Director VIEX GP, LLC · CIK 0001654852 · Director VIEX Special Opportunities Fund II, LP · CIK 0001619127 · Director VIEX Special Opportunities GP II, LLC · CIK 0001658891 · Director VIEX Special Opportunities Fund III, LP · CIK 0001619126 · Director VIEX Special Opportunities GP III, LLC · CIK 0001676049 · Director VIEX Capital Advisors, LLC · CIK 0001619125 · Director Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · By Viex Special Opportunities Fund II, LP Disclosed balance after: 0 Underlying: Common Stock, par value $0.00001 · 111,700 shares Expires 2019-08-16 F9 · kind: Put options expired on August 16, 2019. F9 · derivative.exercise_date: Put options expired on August 16, 2019. F2 · ownership.nature: 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 · ownership.nature: 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 · ownership.nature: 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. Read SEC document |
| August 16, 2019 Filed Aug 19, 2019 17:31 UTC | A10 Networks, Inc. ATEN · Entity 4574 | OtherPut Option (Obligation to Buy) · Derivative | 11,048 | $0.00 Strike: $7.50 | $0.00 |
DisclosureSEC source: 0001209191-19-046654 · doc4.xml · derivative · entry 6 Singer Eric · CIK 0001443284 · Director VIEX Opportunities Fund, LP Series One · CIK 0001606750 · Director VIEX Opportunities Fund, LP - Series Two · CIK 0001659404 · Director VIEX GP, LLC · CIK 0001654852 · Director VIEX Special Opportunities Fund II, LP · CIK 0001619127 · Director VIEX Special Opportunities GP II, LLC · CIK 0001658891 · Director VIEX Special Opportunities Fund III, LP · CIK 0001619126 · Director VIEX Special Opportunities GP III, LLC · CIK 0001676049 · Director VIEX Capital Advisors, LLC · CIK 0001619125 · Director Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · By Viex Special Opportunities Fund II, LP Disclosed balance after: 0 Underlying: Common Stock, par value $0.00001 · 1,104,800 shares Expires 2019-08-16 F1 · kind: Shares of Common Stock of A10 Networks, Inc. (the "Issuer") beneficially owned directly by VSO II or options sold by VSO II. The transaction reported herein represent the exercise of 11,048 put option contracts on August 16, 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. F8 · derivative.exercise_date: These options are currently exercisable. F2 · ownership.nature: 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 · ownership.nature: 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 · ownership.nature: 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. Read SEC document |
| August 16, 2019 Filed Aug 19, 2019 17:31 UTC | A10 Networks, Inc. ATEN · Entity 4574 | OtherCommon Stock, par value $0.00001 | 1,104,800 | $7.50 | $8,286,000.00 |
DisclosureSEC source: 0001209191-19-046654 · doc4.xml · nonDerivative · entry 1 Singer Eric · CIK 0001443284 · Director VIEX Opportunities Fund, LP Series One · CIK 0001606750 · Director VIEX Opportunities Fund, LP - Series Two · CIK 0001659404 · Director VIEX GP, LLC · CIK 0001654852 · Director VIEX Special Opportunities Fund II, LP · CIK 0001619127 · Director VIEX Special Opportunities GP II, LLC · CIK 0001658891 · Director VIEX Special Opportunities Fund III, LP · CIK 0001619126 · Director VIEX Special Opportunities GP III, LLC · CIK 0001676049 · Director VIEX Capital Advisors, LLC · CIK 0001619125 · Director Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · By Viex Special Opportunities Fund II, LP Disclosed balance after: 4,899,122 F1 · kind: Shares of Common Stock of A10 Networks, Inc. (the "Issuer") beneficially owned directly by VSO II or options sold by VSO II. The transaction reported herein represent the exercise of 11,048 put option contracts on August 16, 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 · ownership.nature: 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 · ownership.nature: 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 · ownership.nature: 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. Read SEC document |
| August 15, 2019 Filed Aug 16, 2019 18:10 UTC | A10 Networks, Inc. ATEN · Entity 4574 | OtherPut Option (Obligation to Buy) · Derivative | 2,179 | $0.00 Strike: $7.50 | $0.00 |
DisclosureSEC source: 0001209191-19-046403 · doc4.xml · derivative · entry 8 Singer Eric · CIK 0001443284 · Director VIEX Opportunities Fund, LP Series One · CIK 0001606750 · Director VIEX Opportunities Fund, LP - Series Two · CIK 0001659404 · Director VIEX GP, LLC · CIK 0001654852 · Director VIEX Special Opportunities Fund II, LP · CIK 0001619127 · Director VIEX Special Opportunities GP II, LLC · CIK 0001658891 · Director VIEX Special Opportunities Fund III, LP · CIK 0001619126 · Director VIEX Special Opportunities GP III, LLC · CIK 0001676049 · Director VIEX Capital Advisors, LLC · CIK 0001619125 · Director Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · By Viex Special Opportunities Fund II, LP Disclosed balance after: 11,048 Underlying: Common Stock, par value $0.00001 · 217,900 shares Expires 2019-08-16 F1 · kind: 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. F8 · derivative.exercise_date: These options are currently exercisable. F2 · ownership.nature: 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 · ownership.nature: 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 · ownership.nature: 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. Read SEC document |
| August 15, 2019 Filed Aug 16, 2019 18:10 UTC | A10 Networks, Inc. ATEN · Entity 4574 | OtherCommon Stock, par value $0.00001 | 217,900 | $7.50 | $1,634,250.00 |
DisclosureSEC source: 0001209191-19-046403 · doc4.xml · nonDerivative · entry 2 Singer Eric · CIK 0001443284 · Director VIEX Opportunities Fund, LP Series One · CIK 0001606750 · Director VIEX Opportunities Fund, LP - Series Two · CIK 0001659404 · Director VIEX GP, LLC · CIK 0001654852 · Director VIEX Special Opportunities Fund II, LP · CIK 0001619127 · Director VIEX Special Opportunities GP II, LLC · CIK 0001658891 · Director VIEX Special Opportunities Fund III, LP · CIK 0001619126 · Director VIEX Special Opportunities GP III, LLC · CIK 0001676049 · Director VIEX Capital Advisors, LLC · CIK 0001619125 · Director Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · By Viex Special Opportunities Fund II, LP Disclosed balance after: 3,794,322 F1 · kind: 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 · ownership.nature: 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 · ownership.nature: 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 · ownership.nature: 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. Read SEC document |
| August 14, 2019 Filed Aug 16, 2019 18:10 UTC | A10 Networks, Inc. ATEN · Entity 4574 | OtherPut Option (Obligation to Buy) · Derivative | 452 | $0.00 Strike: $7.50 | $0.00 |
DisclosureSEC source: 0001209191-19-046403 · doc4.xml · derivative · entry 7 Singer Eric · CIK 0001443284 · Director VIEX Opportunities Fund, LP Series One · CIK 0001606750 · Director VIEX Opportunities Fund, LP - Series Two · CIK 0001659404 · Director VIEX GP, LLC · CIK 0001654852 · Director VIEX Special Opportunities Fund II, LP · CIK 0001619127 · Director VIEX Special Opportunities GP II, LLC · CIK 0001658891 · Director VIEX Special Opportunities Fund III, LP · CIK 0001619126 · Director VIEX Special Opportunities GP III, LLC · CIK 0001676049 · Director VIEX Capital Advisors, LLC · CIK 0001619125 · Director Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · By Viex Special Opportunities Fund II, LP Disclosed balance after: 13,227 Underlying: Common Stock, par value $0.00001 · 45,200 shares Expires 2019-08-16 F1 · kind: 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. F8 · derivative.exercise_date: These options are currently exercisable. F2 · ownership.nature: 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 · ownership.nature: 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 · ownership.nature: 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. Read SEC document |
| August 14, 2019 Filed Aug 16, 2019 18:10 UTC | A10 Networks, Inc. ATEN · Entity 4574 | OtherCommon Stock, par value $0.00001 | 45,200 | $7.50 | $339,000.00 |
DisclosureSEC source: 0001209191-19-046403 · doc4.xml · nonDerivative · entry 1 Singer Eric · CIK 0001443284 · Director VIEX Opportunities Fund, LP Series One · CIK 0001606750 · Director VIEX Opportunities Fund, LP - Series Two · CIK 0001659404 · Director VIEX GP, LLC · CIK 0001654852 · Director VIEX Special Opportunities Fund II, LP · CIK 0001619127 · Director VIEX Special Opportunities GP II, LLC · CIK 0001658891 · Director VIEX Special Opportunities Fund III, LP · CIK 0001619126 · Director VIEX Special Opportunities GP III, LLC · CIK 0001676049 · Director VIEX Capital Advisors, LLC · CIK 0001619125 · Director Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · By Viex Special Opportunities Fund II, LP Disclosed balance after: 3,576,422 F1 · kind: 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 · ownership.nature: 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 · ownership.nature: 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 · ownership.nature: 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. Read SEC document |
| July 26, 2019 Filed Jul 30, 2019 17:02 UTC | A10 Networks, Inc. ATEN · Entity 4574 | GrantCommon Stock, par value $0.00001 | 30,120 | $0.00 | $0.00 |
DisclosureSEC source: 0000921895-19-002071 · form410114025_07302019.xml · nonDerivative · entry 1 Singer Eric · CIK 0001443284 · Director VIEX Opportunities Fund, LP Series One · CIK 0001606750 · See Explanation of Responses VIEX Opportunities Fund, LP - Series Two · CIK 0001659404 · See Explanation of Responses VIEX Special Opportunities Fund II, LP · CIK 0001619127 · See Explanation of Responses VIEX Special Opportunities Fund III, LP · CIK 0001619126 · See Explanation of Responses VIEX GP, LLC · CIK 0001654852 · See Explanation of Responses VIEX Special Opportunities GP II, LLC · CIK 0001658891 · See Explanation of Responses VIEX Special Opportunities GP III, LLC · CIK 0001676049 · See Explanation of Responses VIEX Capital Advisors, LLC · CIK 0001619125 · See Explanation of Responses Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 30,120 F2 · balance_after: Each share is represented by a restricted stock unit, which vests in three equal annual installments on the anniversary of the grant date of 07/26/2019, provided that the Reporting Person continues to serve through each vesting date. F1 · ownership.direct: 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"). Read SEC document |
| December 01, 2017 Filed Dec 4, 2017 21:18 UTC | QUANTUM CORP /DE/ QTM · Entity 4987 | GrantCommon Stock | 16,681 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-17-063533 · doc4.xml · nonDerivative · entry 1 Singer Eric · CIK 0001443284 · Director · 10% owner VIEX Opportunities Fund, LP Series One · CIK 0001606750 · 10% owner VIEX Opportunities Fund, LP Series Two · CIK 0001659404 · 10% owner VIEX Special Opportunities Fund III, LP · CIK 0001619126 · 10% owner VIEX Special Opportunities GP III, LLC · CIK 0001676049 · 10% owner VIEX GP, LLC · CIK 0001654852 · 10% owner VIEX Capital Advisors, LLC · CIK 0001619125 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 16,681 F1 · security: This Form 4 is filed jointly by VIEX Opportunities Fund, LP - Series One ("Series One"), a series of VIEX Opportunities Fund, LP ("VIEX Opportunities"), a series limited partnership, VIEX Opportunities Fund, LP - Series Two ("Series Two"), a series of VIEX Opportunities, VIEX Special Opportunities Fund III, LP ("VSO III"), VIEX GP, LLC ("VIEX GP"), VIEX Special Opportunities GP III, LLC ("VSO GP III"), VIEX Capital Advisors, LLC ("VIEX Capital"), and Eric Singer (collectively, the "Reporting Persons"). F2 · security: The Reporting Persons are filing this report because each of the Reporting Persons is a member of a Section 13(d) group, disclosed in a Schedule 13D filed on behalf of the Reporting Persons, as it may be amended, which beneficially owns in the aggregate more than 10% of the Issuer's outstanding shares of Common Stock. Each Reporting Person disclaims beneficial ownership of the shares of Common Stock 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 shares of Common Stock for purposes of Section 16 or for any other purpose. F3 · shares: Restricted stock units will fully vest on the earlier to occur of: i) the date of Quantum Corporation's next Annual Stockholder Meeting; and ii) September 1, 2018. F4 · balance_after: Reflects a 1-for-8 reverse stock split of the Issuer's common stock effected on April 18, 2017. F5 · balance_after: Mr. Singer, as the managing member of VIEX GP and VIEX Capital, may be deemed the beneficial owner of the (i) 925,983 Shares owned by Series One, (ii) 176,648 Shares owned by Series Two and (iii) 2,588,833 owned by VSO III. Read SEC document |
Value uses the disclosed total when available, otherwise shares × reported transaction price. It is not an estimate of exercise cash cost or investment performance.