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HARMONIC INC. — Director's Dealing 2013
Feb 20, 2013
32122_dirs_2013-02-20_f000293a-4d59-4572-90bb-d2b589a234ba.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: 2013-02-15
Reporting Person: Haltmayer Neven (Sr. Vice President, R&D)
Non-Derivative Transactions
| Date | Security | Code | Shares | Price | A/D | Holdings After | Ownership |
|---|---|---|---|---|---|---|---|
| 2013-02-15 | Common Stock | M | 5250 | $0.00 | Acquired | 42369 | Direct |
| 2013-02-15 | Common Stock | F | 2293 | $5.68 | Disposed | 40076 | Direct |
| 2013-02-15 | Common Stock | M | 5250 | $0.00 | Acquired | 45326 | Direct |
| 2013-02-15 | Common Stock | F | 2291 | $5.68 | Disposed | 43035 | Direct |
| 2013-02-15 | Common Stock | M | 4063 | $0.00 | Acquired | 47098 | Direct |
| 2013-02-15 | Common Stock | F | 1615 | $5.68 | Disposed | 45483 | Direct |
| 2013-02-15 | Common Stock | M | 11250 | $0.00 | Acquired | 56733 | Direct |
| 2013-02-15 | Common Stock | F | 4126 | $5.68 | Disposed | 52607 | Direct |
Derivative Transactions
| Date | Security | Exercise Price | Code | Shares | A/D | Expiration | Underlying | Ownership |
|---|---|---|---|---|---|---|---|---|
| 2013-02-15 | Restricted Stock Units | $0.00 | M | 5250 | Disposed | 2013-02-15 | Common Stock (5250) | Direct |
| 2013-02-15 | Restricted Stock Units | $0.00 | M | 5250 | Disposed | 2014-02-15 | Common Stock (5250) | Direct |
| 2013-02-15 | Restricted Stock Units | $0.00 | M | 4063 | Disposed | 2015-02-15 | Common Stock (4063) | Direct |
| 2013-02-15 | Restricted Stock Units | $0.00 | M | 11250 | Disposed | 2016-02-15 | Common Stock (11250) | Direct |
Footnotes
F1: These shares of common stock were acquired upon the vesting of restricted stock units on 2/15/2013. 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.
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 2/15/2013. 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 2/19/2010.
F4: These shares of common stock were acquired upon the vesting of restricted stock units on 2/15/2013. 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.
F5: These shares of common stock were acquired upon the vesting of restricted stock units on 2/15/2013. 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.