SEC Form 4/A · accession 0001209191-17-066865
A10 Networks, Inc. · ATEN
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
This is an amendment (Form 4/A). It replaces an earlier filing for the same period.
Reporting owner
Gunter Reiss
Officer — VP Worldwide Mktg & Bus Dev
Period of report
Dec 3, 2017
Accepted (ET)
Dec 21, 2017 · 6:42 pm EST
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001580808
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common StockF1,F2 | Dec 3, 2017 | A | 30,000 | $0.00 | A | 134,929 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Employee Stock Option (right to buy)F3 | $7.87 | Dec 3, 2017 | A | 75,000 | A | Nov 23, 2017 | Dec 3, 2027 | Common Stock | 75,000 | 75,000 | D |
Explanation of responses
- F1Each 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 (11/5/2017), provided that the Reporting Person continues to serve through each vesting date.
- F2Includes shares acquired by the Reporting Person pursuant to the Issuer's Employee Stock Purchase Plan.
- F3One-fourth (1/4) of the shares subject to the option will vest on the first anniversary of the Vesting Commencement Date (10/23/2017), and the remaining shares will vest in equal monthly installments over the following 36 months, provided that the Reporting Person continues to serve through each vesting date.
Remarks
This amendment restates in its entirety the Reporting Person's Form 4 that was filed on December 5, 2017, as amended on December 8, 2017. The issuance of the securities described in that Form 4 was effected on December 3, 2017 as originally reported. The amendment filed on December 8, 2017 should be disregarded.