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HARMONIC INC. — Director's Dealing 2013
Aug 19, 2013
32122_dirs_2013-08-19_7d0efbe0-11d5-4406-9161-c4c6e4f86bf1.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: HARSHMAN PATRICK (Director, President and CEO)
Non-Derivative Transactions
| Date | Security | Code | Shares | Price | A/D | Holdings After | Ownership |
|---|---|---|---|---|---|---|---|
| 2013-08-15 | Common Stock | M | 13125 | $0.00 | Acquired | 274498 | Direct |
| 2013-08-15 | Common Stock | F | 4932 | $7.60 | Disposed | 269566 | Direct |
| 2013-08-15 | Common Stock | M | 10000 | $0.00 | Acquired | 279566 | Direct |
| 2013-08-15 | Common Stock | F | 3758 | $7.60 | Disposed | 275808 | Direct |
| 2013-08-15 | Common Stock | M | 13750 | $0.00 | Acquired | 289558 | Direct |
| 2013-08-15 | Common Stock | F | 5167 | $7.60 | Disposed | 284509 | Direct |
Derivative Transactions
| Date | Security | Exercise Price | Code | Shares | A/D | Expiration | Underlying | Ownership |
|---|---|---|---|---|---|---|---|---|
| 2013-08-15 | Restricted Stock Units | $0.00 | M | 13125 | Disposed | 2014-02-15 | Common Stock (13125) | Direct |
| 2013-08-15 | Restricted Stock Units | $0.00 | M | 10000 | Disposed | 2015-02-15 | Common Stock (10000) | Direct |
| 2013-08-15 | Restricted Stock Units | $0.00 | M | 13750 | 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 2/19/2010, and were identified on a Form 4 filed by the Reporting Person on 2/23/2010.
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 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.
F4: 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.
F5: This Form 4 restates the total securities held by the Reporting Person, which were underreported in the Reporting Person's previous Form 4 filings.