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HARMONIC INC. — Director's Dealing 2011
Feb 16, 2011
32122_dirs_2011-02-16_10bbe5db-8770-46ae-97b3-7fa1e128c988.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: 2011-02-14
Reporting Person: Haltmayer Neven (Vice President, R&D)
Non-Derivative Transactions
| Date | Security | Code | Shares | Price | A/D | Holdings After | Ownership |
|---|---|---|---|---|---|---|---|
| 2011-02-14 | Common Stock | M | 38665 | $5.87 | Acquired | 70610 | Direct |
| 2011-02-14 | Common Stock | S | 38665 | $9.9632 | Disposed | 31945 | Direct |
| 2011-02-14 | Common Stock | M | 11000 | $5.86 | Acquired | 42945 | Direct |
| 2011-02-14 | Common Stock | S | 11000 | $9.9632 | Disposed | 31945 | Direct |
| 2011-02-15 | Common Stock | A | 10500 | $0.00 | Acquired | 42445 | Direct |
| 2011-02-15 | Common Stock | F | 3985 | $9.63 | Disposed | 38460 | Direct |
| 2011-02-15 | Common Stock | A | 5250 | $0.00 | Acquired | 43710 | Direct |
| 2011-02-15 | Common Stock | F | 2193 | $9.63 | Disposed | 41517 | Direct |
Derivative Transactions
| Date | Security | Exercise Price | Code | Shares | A/D | Expiration | Underlying | Ownership |
|---|---|---|---|---|---|---|---|---|
| 2011-02-14 | Right to buy | $5.87 | M | 38665 | Disposed | 2013-02-27 | Common Stock (38665) | Direct |
| 2011-02-14 | Right to buy | $5.86 | M | 11000 | Disposed | 2015-05-03 | Common Stock (11000) | Direct |
| 2011-02-15 | Restricted Stock Units | $0.00 | M | 10500 | Disposed | 2014-02-15 | Common Stock (10500) | Direct |
| 2011-02-15 | Restricted Stock Units | $0.00 | M | 5250 | Disposed | 2013-02-15 | Common Stock (5250) | Direct |
Footnotes
F1: These shares of common stock were acquired upon the vesting of restricted stock units on 2/15/2011. These restricted stock units were initially granted to the Reporting Person on 2/19/2010, and were identified on a Form 4 filed by the Reporting Person on 2/19/2010.
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 2/15/2011. 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.
F4: Includes 21,000 unvested shares which remain subject to Restricted Stock Units from the Restricted Stock Unit grant that was made to Mr. Haltmayer on 2/24/2009, previously identified on a Form 4 filed 2/26/2009.