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HARMONIC INC. — Director's Dealing 2012
Feb 17, 2012
32122_dirs_2012-02-17_0997cbbb-0110-400c-b3ab-c9cae68296be.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: 2012-02-15
Reporting Person: Haltmayer Neven (Sr. Vice President, R&D)
Non-Derivative Transactions
| Date | Security | Code | Shares | Price | A/D | Holdings After | Ownership |
|---|---|---|---|---|---|---|---|
| 2012-02-15 | Common Stock | A | 5250 | $0.00 | Acquired | 53417 | Direct |
| 2012-02-15 | Common Stock | F | 1925 | $6.27 | Disposed | 51492 | Direct |
| 2012-02-15 | Common Stock | A | 5250 | $0.00 | Acquired | 56742 | Direct |
| 2012-02-15 | Common Stock | F | 2077 | $6.27 | Disposed | 54665 | Direct |
| 2012-02-15 | Common Stock | A | 8126 | $0.00 | Acquired | 62791 | Direct |
| 2012-02-15 | Common Stock | F | 3395 | $6.27 | Disposed | 59396 | Direct |
Derivative Transactions
| Date | Security | Exercise Price | Code | Shares | A/D | Expiration | Underlying | Ownership |
|---|---|---|---|---|---|---|---|---|
| 2012-02-15 | Restricted Stock Units | $0.00 | M | 5250 | Disposed | 2013-02-15 | Common Stock (5250) | Direct |
| 2012-02-15 | Restricted Stock Units | $0.00 | M | 5250 | Disposed | 2014-02-15 | Common Stock (5250) | Direct |
| 2012-02-15 | Restricted Stock Units | $0.00 | M | 8126 | Disposed | 2015-02-15 | Common Stock (8126) | Direct |
Footnotes
F1: These shares of common stock were acquired upon the vesting of restricted stock units on 2/15/2012. These restricted stock units were initially granted to Mr. Haltmayer on 2/24/2009, and were identified on a Form 4 filed by Mr. Haltmayer 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 2/15/2012. These restricted stock units were initially granted to Mr. Haltmayer on 2/19/2010, and were identified on a Form 4 filed by Mr. Haltmayer on 2/23/2010.
F4: These shares of common stock were acquired upon the vesting of restricted stock units on 2/15/2012. These restricted stock units were initially granted to Mr. Haltmayer on 3/4/2011, and were identified on a Form 4 filed by Mr. Haltmayer on 3/8/2011.
F5: Includes 10,500 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.