Sec Form 13G Filing - CHEN LEE filing for A10 Networks Inc. (ATEN) - 2020-10-01

 

UNITED STATES

SECURITIES AND EXCHANGE COMMISSION

Washington, D.C. 20549

 

SCHEDULE 13G

 

Under the Securities Exchange Act of 1934

(Amendment No. 6)*

 

A10 Networks, Inc.

(Name of Issuer)

 

Common Stock, $0.00001 par value per share

(Title of Class of Securities)

 

002121101

(CUSIP Number)

 

September 30, 2020

(Date of Event which Requires Filing of this Statement)

 

Check the appropriate box to designate the rule pursuant to which this Schedule is filed:

 

☐	Rule 13d-1(b)

☐	Rule 13d-1(c)

☒	Rule 13d-1(d)

 

*  The remainder of this cover page shall be filled out for a reporting person's initial filing on this form with respect to the subject class of securities, and for any subsequent amendment containing information which would alter disclosures provided in a prior cover page.

 

The information required on the remainder of this cover page shall not be deemed to be "filed" for the purpose of Section 18 of the Securities Exchange Act of 1934 ("Act") or otherwise subject to the liabilities of that section of the Act but shall be subject to all other provisions of the Act (however, see the Notes).

 

 

CUSIP No.

002121101

13G

Page 2 of 5 Pages

 

PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9)

 

6.7% (See Item 4(b) below)

1.	NAMES OF REPORTING PERSONS I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS (ENTITIES ONLY)   Lee Chen
2.	CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (see instructions)		(a) ☐ (b) ☒
3.	SEC USE ONLY
4.	CITIZENSHIP OR PLACE OF ORGANIZATION   United States of America
NUMBER OF SHARES BENEFICIALLY OWNED BY EACH REPORTING PERSON WITH	5.	SOLE VOTING POWER   5,183,523 (See Item 4(a) below)
	6.	SHARED VOTING POWER   0
	7.	SOLE DISPOSITIVE POWER   5,183,523 (See Item 4(a) below)
	8.	SHARED DISPOSITIVE POWER   0
9.	AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON   5,183,523 (See Item 4(a) below)
10.	CHECK IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES (see instructions)		☐
11.
12.	TYPE OF REPORTING PERSON (see instructions)   IN

 

 

CUSIP No.

002121101

13G

Page 3 of 5 Pages

 

Item 1.

 

(a)

Name of Issuer

 

A10 Networks, Inc.

 

(b)

Address of Issuer’s Principal Executive Offices

 

2300 Orchard Parkway, San Jose, CA 95131

 

Item 2.

 

(a)

Name of Person Filing

 

Lee Chen

 

(b)

Address of the Principal Office or, if none, residence

 

c/o A10 Networks, Inc., 2300 Orchard Parkway, San Jose, CA 95131

 

(c)

Citizenship

 

United States

 

(d)

Title of Class of Securities

 

Common Stock, $0.00001 par value per share

 

(e)

CUSIP Number

 

002121101

 

Item 3. If this statement is filed pursuant to §§240.13d-1(b) or 240.13d-2(b) or (c), check whether the person filing is a:

 

(a)

☐

Broker or dealer registered under section 15 of the Act (15 U.S.C. 78o).

 

(b)

☐

Bank as defined in section 3(a)(6) of the Act (15 U.S.C. 78c).

 

(c)

☐

Insurance company as defined in section 3(a)(19) of the Act (15 U.S.C. 78c).

 

(d)

☐

Investment company registered under section 8 of the Investment Company Act of 1940 (15 U.S.C. 80a-8).

 

(e)

☐

An investment adviser in accordance with §240.13d-1(b)(1)(ii)(E);

 

(f)

☐

An employee benefit plan or endowment fund in accordance with §240.13d-1(b)(1)(ii)(F);

 

(g)

☐

A parent holding company or control person in accordance with §240.13d-1(b)(1)(ii)(G);

 

(h)

☐

A savings associations as defined in Section 3(b) of the Federal Deposit Insurance Act (12 U.S.C. 1813);

 

(i)

☐

A church plan that is excluded from the definition of an investment company under section 3(c)(14) of the Investment Company Act of 1940 (15 U.S.C. 80a-3);

 

(j)

☐

Group, in accordance with §240.13d-1(b)(1)(ii)(J).

 

 

CUSIP No.

002121101

13G

Page 4 of 5 Pages

 

Item 4. Ownership.

 

Provide the following information regarding the aggregate number and percentage of the class of securities of the issuer identified in Item 1.

 

(a)

Amount beneficially owned: 5,183,523 shares, which includes (i) 5,180,323 shares of Common Stock held by Mr. Chen, and (ii) 3,200 shares of Common Stock held by the U/A DTD 07/25/2000 Lee Chen Family Trust, for which Mr. Chen serves as a trustee.

 

(b)

Percent of class: 6.7% (percentage ownership is calculated based on 77,928,897 shares of common stock of the Issuer outstanding as of July 27, 2020, as reported in the Issuer’s Form 10-Q filed with the SEC on July 30, 2020).

 

(c)

Number of shares as to which the person has:

 

(i)

Sole power to vote or to direct the vote

5,183,523 (See Item 4(a) above).

 

(ii)

Shared power to vote or to direct the vote

0.

 

(iii)

Sole power to dispose or to direct the disposition of

5,183,523 (See Item 4(a) above).

 

(iv)

Shared power to dispose or to direct the disposition of

0.

 

Instruction. For computations regarding securities which represent a right to acquire an underlying security see §240.13d-3(d)(1).

 

Item 5. Ownership of Five Percent or Less of a Class.

 

If this statement is being filed to report the fact that as of the date hereof the reporting person has ceased to be the beneficial owner of more than five percent of the class of securities, check the following ☐ .

 

Instruction. Dissolution of a group requires a response to this item.

 

Item 6. Ownership of More than Five Percent on Behalf of Another Person.

 

Not applicable.

 

Item 7. Identification and Classification of the Subsidiary Which Acquired the Security Being Reported on By the Parent Holding Company.

 

Not applicable.

 

Item 8. Identification and Classification of Members of the Group.

 

Not applicable.

 

Item 9. Notice of Dissolution of Group.

 

Not applicable.

 

Item 10. Certification.

 

Not applicable.

 

 

CUSIP No.

002121101

13G

Page 5 of 5 Pages

 

After reasonable inquiry and to the best of my knowledge and belief, I certify that the information set forth in this statement is true, complete and correct.

 

	10/01/2020
	Date
	/s/ Lee Chen
	Signature
	Name/Title