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HARMONIC INC. — Director's Dealing 2013
Aug 19, 2013
32122_dirs_2013-08-19_c15b7700-8247-4346-b1c1-76ae3f727d64.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: 2013-08-15
Reporting Person: AVER CAROLYN V (Chief Financial Officer)
Non-Derivative Transactions
| Date | Security | Code | Shares | Price | A/D | Holdings After | Ownership |
|---|---|---|---|---|---|---|---|
| 2013-08-15 | Common Stock | M | 5000 | $0.00 | Acquired | 77292 | Direct |
| 2013-08-15 | Common Stock | F | 1879 | $7.60 | Disposed | 75413 | Direct |
| 2013-08-15 | Common Stock | M | 6875 | $0.00 | Acquired | 82288 | Direct |
| 2013-08-15 | Common Stock | F | 2583 | $7.60 | Disposed | 79705 | Direct |
Derivative Transactions
| Date | Security | Exercise Price | Code | Shares | A/D | Expiration | Underlying | Ownership |
|---|---|---|---|---|---|---|---|---|
| 2013-08-15 | Restricted Stock Units | $0.00 | M | 5000 | Disposed | 2015-02-15 | Common Stock (5000) | Direct |
| 2013-08-15 | Restricted Stock Units | $0.00 | M | 6875 | Disposed | 2016-02-15 | Common Stock (13750) | Direct |
Footnotes
F1: These shares of common stock were acquired upon the vesting of restricted stock units on 8/15/2013. These restricted stock units were initially granted to the Reporting Person on 3/4/2011, and were identified on a Form 4 filed by the Reporting Person on 3/8/2011.
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 8/15/2013. These restricted stock units were initially granted to the Reporting Person on 2/28/2012, and were identified on a Form 4 filed by the Reporting Person on 3/1/2012.