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HARMONIC INC. — Director's Dealing 2013
Feb 20, 2013
32122_dirs_2013-02-20_4b1634d4-a198-468b-a989-09dfb6de3005.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: AVER CAROLYN V (Chief Financial Officer)
Non-Derivative Transactions
| Date | Security | Code | Shares | Price | A/D | Holdings After | Ownership |
|---|---|---|---|---|---|---|---|
| 2013-02-15 | Common Stock | A | 5000 | $0.00 | Acquired | 57571 | Direct |
| 2013-02-15 | Common Stock | F | 2184 | $5.68 | Disposed | 55387 | Direct |
| 2013-02-15 | Common Stock | A | 13750 | $0.00 | Acquired | 69137 | Direct |
| 2013-02-15 | Common Stock | F | 5428 | $5.68 | Disposed | 63709 | Direct |
Derivative Transactions
| Date | Security | Exercise Price | Code | Shares | A/D | Expiration | Underlying | Ownership |
|---|---|---|---|---|---|---|---|---|
| 2013-02-15 | Restricted Stock Units | $0.00 | M | 5000 | Disposed | 2015-02-15 | Common Stock (5000) | Direct |
| 2013-02-15 | 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 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.
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 2/28/2012, and were identified on a Form 4 filed by the Reporting Person on 3/1/2012.