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HARMONIC INC. — Director's Dealing 2011
Aug 17, 2011
32122_dirs_2011-08-17_2b2945de-e22b-4dfd-943f-ca834d168cc4.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: 2011-08-15
Reporting Person: HARSHMAN PATRICK (Director, President and CEO)
Non-Derivative Transactions
| Date | Security | Code | Shares | Price | A/D | Holdings After | Ownership |
|---|---|---|---|---|---|---|---|
| 2011-08-15 | Common Stock | A | 13125 | $0.00 | Acquired | 210341 | Direct |
| 2011-08-15 | Common Stock | F | 4814 | $5.58 | Disposed | 205527 | Direct |
| 2011-08-15 | Common Stock | A | 13125 | $0.00 | Acquired | 218652 | Direct |
| 2011-08-15 | Common Stock | F | 4814 | $5.58 | Disposed | 213838 | Direct |
Derivative Transactions
| Date | Security | Exercise Price | Code | Shares | A/D | Expiration | Underlying | Ownership |
|---|---|---|---|---|---|---|---|---|
| 2011-08-15 | Restricted Stock Units | $0.00 | M | 13125 | Disposed | 2013-02-15 | Common Stock (13125) | Direct |
| 2011-08-15 | Restricted Stock Units | $0.00 | M | 13125 | Disposed | 2014-02-15 | Common Stock (13125) | Direct |
Footnotes
F1: These shares of common stock were acquired upon the vesting of restricted stock units on 8/15/2011. These restricted stock units were initially granted to Mr. Harshman on 2/24/2009, and were identified on a Form 4 filed by Mr. Harshman 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: These shares of common stock were acquired upon the vesting of restricted stock units on 8/15/2011. These restricted stock units were initially granted to Mr. Harshman on 2/19/2010, and were identified on a Form 4 filed by Mr. Harshman on 2/23/2010.
F4: Includes 39,375 unvested shares which remain subject to Restricted Stock Units from the Restricted Stock Unit grant that was made to Mr. Harshman on 2/24/2009, previously identified on a Form 4 filed 2/26/2009.