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HARMONIC INC. — Director's Dealing 2010
Feb 17, 2010
32122_dirs_2010-02-17_dad78df9-f04a-4749-a6e2-c14febddee41.zip
Director's Dealing
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SEC Form 4 — Statement of Changes in Beneficial Ownership
Issuer: HARMONIC INC (HLIT)
CIK: 0000851310
Period of Report: 2010-02-15
Reporting Person: Ben-Natan Nimrod (VP, Solutions & Strategy)
Non-Derivative Transactions
| Date | Security | Code | Shares | Price | A/D | Holdings After | Ownership |
|---|---|---|---|---|---|---|---|
| 2010-02-15 | Common Stock | A | 8750 | $0.00 | Acquired | 35369 | Direct |
| 2010-02-15 | Common Stock | F | 3830 | $6.13 | Disposed | 32013 | Direct |
| 2010-02-17 | Common Stock | S | 4200 | $6.15 | Disposed | 27813 | Direct |
Derivative Transactions
| Date | Security | Exercise Price | Code | Shares | A/D | Expiration | Underlying | Ownership |
|---|---|---|---|---|---|---|---|---|
| 2010-02-15 | Restricted Stock Units | $0.00 | D | 8750 | Disposed | 2013-02-15 | Common Stock (8750) | Direct |
Footnotes
F1: These shares of common stock were acquired upon the vesting of restricted stock units on 2/15/2010. These restricted stock units were initially granted to the Reporting Person on 2/24/2009, and were identified on a Form 4 filed
by the Reporting Person on 2/26/2009.
F2: Shares of Harmonic Inc. common stock withheld by Harmonic Inc. to satisfy tax withholding obligation upon vesting of restricted stock units.
F3: Per 10b5-1 Plan dated November 23, 2009.
F4: Includes 237 and 237 shares of common stock acquired in the company's Section 16-b exempt employee stock purchase plan on 7/1/09 and 01/04/10, respectively.