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HARMONIC INC. — Director's Dealing 2014
Aug 19, 2014
32122_dirs_2014-08-19_e126b7ed-fc8a-4121-b91e-c3fbb3b57143.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: 2014-08-15
Reporting Person: AVER CAROLYN V (Chief Financial Officer)
Non-Derivative Transactions
| Date | Security | Code | Shares | Price | A/D | Holdings After | Ownership |
|---|---|---|---|---|---|---|---|
| 2014-08-15 | Common Stock | M | 5000 | $0.00 | Acquired | 117431 | Direct |
| 2014-08-15 | Common Stock | F | 1879 | $6.15 | Disposed | 115552 | Direct |
| 2014-08-15 | Common Stock | M | 6875 | $0.00 | Acquired | 122427 | Direct |
| 2014-08-15 | Common Stock | F | 2583 | $6.15 | Disposed | 119844 | Direct |
| 2014-08-15 | Common Stock | M | 6875 | $0.00 | Acquired | 126719 | Direct |
| 2014-08-15 | Common Stock | F | 2583 | $6.15 | Disposed | 124136 | Direct |
Derivative Transactions
| Date | Security | Exercise Price | Code | Shares | A/D | Expiration | Underlying | Ownership |
|---|---|---|---|---|---|---|---|---|
| 2014-08-15 | Restricted Stock Units | $0.00 | M | 5000 | Disposed | 2015-02-15 | Common Stock (5000) | Direct |
| 2014-08-15 | Restricted Stock Units | $0.00 | M | 6875 | Disposed | 2016-02-16 | Common Stock (6875) | Direct |
| 2014-08-15 | Restricted Stock Units | $0.00 | M | 6875 | Disposed | 2015-02-15 | Common Stock (6875) | Direct |
Footnotes
F1: These shares of common stock were acquired upon the vesting of restricted stock units on 8/15/2014. 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 8/15/2014. 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.
F4: These shares of common stock were acquired upon the vesting of restricted stock units on 8/15/2014. These restricted stock units were initially granted to the Reporting Person on 3/15/2013, and were identified on a Form 4 filed by the Reporting Person on 3/19/2013.