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UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OF SECURITIES Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934, Section 17(a) of the Public Utility Holding Company Act of 1935 or Section 30(h) of the Investment Company Act of 1940 |
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Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. | |||
Persons who respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB control number. | SEC 1474 (9-02) |
1. Title of Derivative Security (Instr. 3) |
2. Conversion or Exercise Price of Derivative Security | 3. Transaction Date (Month/Day/Year) | 3A. Deemed Execution Date, if any (Month/Day/Year) | 4. Transaction 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 (Month/Day/Year) |
7. Title and Amount of Underlying Securities (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) |
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Code | V | (A) | (D) | Date Exercisable | Expiration Date | Title | Amount or Number of Shares | ||||||||
Employee Stock Option (right to buy) | $ 4.4 | 12/22/2014 | A | 80,000 | 01/22/2015(2) | 12/22/2024 | Common Stock | 80,000 | $ 0 | 80,000 | D | ||||
Performance Restricted Stock Units | (3) | 12/22/2014 | A | 16,667 | (4) | (4) | Common Stock | 16,667 | $ 0 | 16,667 | D |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
Jalan Rajkumar C/O A10 NETWORKS, INC. 3 WEST PLUMERIA DRIVE SAN JOSE, CA 95134 |
Chief Technology Officer |
Robert Cochran, as Attorney-in-Fact | 12/24/2014 | |
**Signature of Reporting Person | Date |
* | If the form is filed by more than one reporting person, see Instruction 4(b)(v). |
** | Intentional misstatements or omissions of facts constitute Federal Criminal Violations. See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a). |
(1) | Includes 1,500 shares acquired by the Reporting Person on November 20, 2014 under the Issuer's Employee Stock Purchase Plan. |
(2) | One forty-eighth (1/48) of the shares subject to the option will vest monthly, provided that the Reporting Person continues to serve through each vesting date. |
(3) | Each restricted stock unit represents a contingent right to receive one share of A10 Networks, Inc. common stock. |
(4) | This Performance Restricted Stock Unit award vests within the four year anniversary of the grant based on the achievement of certain market-related performance criteria. The number of shares reported in this Form 4 reflects the minimum number that may be acquired by the Reporting Person. The Reporting Person may acquire shares equal to an additional 200% of the minimum number depending on the potential achievement of market-related performance criteria. |