Reported relationships
Latest disclosed role at each company.
| Company | Last reported as | Report date | Published |
|---|---|---|---|
| A10 Networks, Inc.ATEN · Entity 4574 | 10% owner | May 18, 2020 | May 20, 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 May 18, 2020 · Filed May 20, 2020
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | Direct | 7,670,224 |
Reported balance
After 2020-05-18 transaction · row 1
1 source rowRow 1 · 2020-05-18 · Sale · Disposed 2,200,000 · Balance 7,670,224 F1: The Issuer and Reporting Person entered into a Common Stock Repurchase and Option Exchange Agreement (the "Repurchase Agreement") for the purchase by the Issuer, and sale by the Reporting Person, of 2,200,000 shares of the Issuer's common stock in a privately-negotiated transaction for an aggregate purchase price of $13,200,000. |
| Employee Stock Option (right to buy)SEC Table II · derivative / convertible security · Conversion / exercise price $5.52 · Expires 2020-05-31 | Direct | 0 |
Reported balance
After 2020-05-18 transaction · row 3
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 3 · 2020-05-18 · Sale · Disposed 282,500 · Balance 0 F3: Represents fully vested stock options. F4: Pursuant to the Repurchase Agreement, in addition to the purchase and sale of common stock referenced in footnote 1, the Reporting Person agreed to cancel such options in exchange for the payment by the Issuer to the Reporting Person of $135,600. F5: Following Reporting Person's separation from service, the stock options expire if not exercised by May 31, 2020. |
| Common StockSEC Table I · non-derivative | IndirectSee footnote | 3,200 |
Reported balance
Holding disclosure · report date 2020-05-18 · row 2
Holding and transaction disclosures are not merged.
1 source rowRow 2 · Balance 3,200 F2: Shares held of record by the U/A DTD 07/25/2000 Lee Chen Family Trust, for which the Reporting Person serves as a trustee. |
Filing footnotes · ownership attribution and instrument terms
F1: The Issuer and Reporting Person entered into a Common Stock Repurchase and Option Exchange Agreement (the "Repurchase Agreement") for the purchase by the Issuer, and sale by the Reporting Person, of 2,200,000 shares of the Issuer's common stock in a privately-negotiated transaction for an aggregate purchase price of $13,200,000.
F2: Shares held of record by the U/A DTD 07/25/2000 Lee Chen Family Trust, for which the Reporting Person serves as a trustee.
F3: Represents fully vested stock options.
F4: Pursuant to the Repurchase Agreement, in addition to the purchase and sale of common stock referenced in footnote 1, the Reporting Person agreed to cancel such options in exchange for the payment by the Issuer to the Reporting Person of $135,600.
F5: Following Reporting Person's separation from service, the stock options expire if not exercised by May 31, 2020.
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 |
|---|---|---|---|---|---|---|
| February 21, 2017 Filed Feb 23, 2017 17:57 UTC | A10 Networks, Inc. ATEN · Entity 4574 | SaleCommon Stock | 25,000 | $9.53 | $238,175.00 |
DisclosureSEC source: 0001209191-17-013954 · doc4.xml · nonDerivative · entry 1 CHEN LEE · CIK 0001206124 · Director · CEO and President · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 10,989,788 F1 · kind: The sales reported on this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the Reporting Person. F2 · price: This is the weighted average sale price of the shares, which ranged from $9.42 to $9.58 per share. Upon request by the Commission staff, the Issuer, or a security holder of the Issuer, the Reporting Person will provide full information regarding the number of shares sold at each separate price within the range set forth in this Form 4. Read SEC document |
| February 17, 2017 Filed Feb 21, 2017 18:32 UTC | A10 Networks, Inc. ATEN · Entity 4574 | SaleCommon Stock | 25,000 | $9.52 | $237,950.00 |
DisclosureSEC source: 0001209191-17-012920 · doc4.xml · nonDerivative · entry 1 CHEN LEE · CIK 0001206124 · Director · CEO and President · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 11,014,788 F1 · kind: The sales reported on this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the Reporting Person. F2 · price: This is the weighted average sale price of the shares, which ranged from $9.415 to $9.68 per share. Upon request by the Commission staff, the Issuer, or a security holder of the Issuer, the Reporting Person will provide full information regarding the number of shares sold at each separate price within the range set forth in this Form 4. Read SEC document |
| February 06, 2017 Filed Feb 8, 2017 17:33 UTC | A10 Networks, Inc. ATEN · Entity 4574 | GrantCommon Stock | 184,006 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-17-008807 · doc4.xml · nonDerivative · entry 1 CHEN LEE · CIK 0001206124 · Director · CEO and President · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 11,039,788 F1 · shares: Each share is represented by a Performance Restricted Stock Unit ("PSU"). Each PSU represents a contingent right to receive one share of ATEN common stock. The PSUs will vest in equal annual increments over a four year period that began on February 12, 2016, subject to the Reporting Person's continued service through each such vest date. 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.