Statement of Changes in Beneficial Ownership (4)
May 01 2020 - 5:30PM
Edgar (US Regulatory)
FORM 4
[ ]
Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b).
UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OF SECURITIES
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3235-0287
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Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934 or Section 30(h) of the Investment Company Act of 1940
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1. Name and Address of Reporting Person
*
BRUENING MATTHEW P |
2. Issuer Name and Ticker or Trading Symbol
A10 Networks, Inc.
[
ATEN
]
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5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
_____ Director _____ 10% Owner
__X__ Officer (give title below) _____ Other (specify below)
EVP, Worldwide Sales |
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(Last)
(First)
(Middle)
C/O A10 NETWORKS, 2300 ORCHARD PARKWAY |
3. Date of Earliest Transaction
(MM/DD/YYYY)
4/29/2020 |
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(Street)
SAN JOSE, CA 95131
(City)
(State)
(Zip)
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4. If Amendment, Date Original Filed
(MM/DD/YYYY)
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6. Individual or Joint/Group Filing
(Check Applicable Line)
_X
_ Form filed by One Reporting Person
___ Form filed by More than One Reporting Person
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Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
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1.Title of Security
(Instr. 3)
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2. Trans. Date
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2A. Deemed Execution Date, if any
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3. Trans. Code
(Instr. 8)
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4. Securities Acquired (A) or Disposed of (D)
(Instr. 3, 4 and 5)
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5. Amount of Securities Beneficially Owned Following Reported Transaction(s)
(Instr. 3 and 4)
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6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4)
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7. Nature of Indirect Beneficial Ownership (Instr. 4)
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Code
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V
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Amount
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(A) or (D)
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Price
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| Common Stock | 4/29/2020 | | A | | 25000 (1) | A | $0 | 25000 | D | |
Table II - Derivative Securities Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities)
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1. Title of Derivate Security
(Instr. 3) | 2. Conversion or Exercise Price of Derivative Security | 3. Trans. Date | 3A. Deemed Execution Date, if any | 4. Trans. Code
(Instr. 8) | 5. Number of Derivative Securities Acquired (A) or Disposed of (D)
(Instr. 3, 4 and 5) | 6. Date Exercisable and Expiration Date | 7. Title and Amount of Securities Underlying Derivative Security
(Instr. 3 and 4) | 8. Price of Derivative Security
(Instr. 5) | 9. Number of derivative Securities Beneficially Owned Following Reported Transaction(s) (Instr. 4) | 10. Ownership Form of Derivative Security: Direct (D) or Indirect (I) (Instr. 4) | 11. Nature of Indirect Beneficial Ownership (Instr. 4) |
| Code | V | (A) | (D) | Date Exercisable | Expiration Date | Title | Amount or Number of Shares |
| Performance-based Restricted Stock Units | (2) | 4/29/2020 | | A | | 100000 | | (3) | 4/29/2024 | Common Stock | 100000.0 | $0 | 100000 | D | |
| Explanation of Responses: |
| (1) | Each share is represented by a Restricted Stock Unit ("RSU"). One-fourth (1/4) of the total RSUs will vest on each of the first four (4) anniversaries of the Vesting Commencement Date (5/5/2020), provided that the Reporting Person continues to serve through each vesting date. |
| (2) | Each share is represented by a Performance-based Restricted Stock Unit ("PSU") |
| (3) | Grant of 100,000 Performance-Based Restricted Stock Units, each of which represents a contingent right to receive one share of common stock of ATEN, with vesting subject to the achievement of specified levels of the volume weighted average closing prices of a share of ATEN common stock during any one hundred (100) day period between April 29, 2020 and April 29, 2024. Vesting is subject to continued employment with the Company through the applicable vesting date, which occurs in three equal annual installments on beginning of the first anniversary of the corresponding performance milestone. |
Reporting Owners
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| Reporting Owner Name / Address | Relationships |
| Director | 10% Owner | Officer | Other |
BRUENING MATTHEW P
C/O A10 NETWORKS
2300 ORCHARD PARKWAY
SAN JOSE, CA 95131 |
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| EVP, Worldwide Sales |
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Signatures
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| /s/ Robert Cochran, Attorney-in-fact | | 5/1/2020 |
| **Signature of Reporting Person | Date |
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