AI assistant
HARMONIC INC. — Director's Dealing 2012
Aug 17, 2012
32122_dirs_2012-08-17_ab9c542c-acc3-4dc5-a4d1-cedce7c36920.zip
Director's Dealing
Open in viewerOpens in your device viewer
SEC Form 4 — Statement of Changes in Beneficial Ownership
Issuer: HARMONIC INC (HLIT)
CIK: 0000851310
Period of Report: 2012-08-15
Reporting Person: Carrington Mark (Sr. VP of Worldwide Sales)
Non-Derivative Transactions
| Date | Security | Code | Shares | Price | A/D | Holdings After | Ownership |
|---|---|---|---|---|---|---|---|
| 2012-08-15 | Common Stock | A | 3600 | $0.00 | Acquired | 26458 | Direct |
| 2012-08-15 | Common Stock | F | 1320 | $4.42 | Disposed | 25138 | Direct |
| 2012-08-15 | Common Stock | A | 1750 | $0.00 | Acquired | 26888 | Direct |
| 2012-08-15 | Common Stock | F | 641 | $4.42 | Disposed | 26247 | Direct |
| 2012-08-15 | Common Stock | A | 3750 | $0.00 | Acquired | 29997 | Direct |
| 2012-08-15 | Common Stock | F | 1375 | $4.42 | Disposed | 28981 | Direct |
Derivative Transactions
| Date | Security | Exercise Price | Code | Shares | A/D | Expiration | Underlying | Ownership |
|---|---|---|---|---|---|---|---|---|
| 2012-08-15 | Restricted Stock Units | $0.00 | M | 3600 | Disposed | 2014-02-15 | Common Stock (3600) | Direct |
| 2012-08-15 | Restricted Stock Units | $0.00 | M | 1750 | Disposed | 2014-02-15 | Common Stock (1750) | Direct |
| 2012-08-15 | Restricted Stock Units | $0.00 | M | 3750 | Disposed | 2015-02-15 | Common Stock (3750) | Direct |
Footnotes
F1: These shares of common stock were acquired upon the vesting of restricted stock units on 8/15/2012. These restricted stock units were initially granted to Mr. Carrington on 1/4/2010, and were identified on a Form 3 filed by Mr. Carrington on 2/14/2011.
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 8/15/2012. These restricted stock units were initially granted to Mr. Carrington on 2/19/2010, and were identified on a Form 3 filed by Mr. Carrington on 2/14/2011.
F4: These shares of common stock were acquired upon the vesting of restricted stock units on 8/15/2012. These restricted stock units were initially granted to Mr. Carrington on 3/4/2011, and were identified on a Form 4 filed by Mr. Carrington on 3/8/2011.
F5: Includes 359 shares of common stock acquired in the company's Section 16-b exempt employee stock purchase plan on 7/2/2012.