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HARMONIC INC. — Director's Dealing 2014
Feb 19, 2014
32122_dirs_2014-02-19_a7d647e4-770e-4691-910f-6de2fa7850e7.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: 2014-02-15
Reporting Person: Haltmayer Neven (Sr. Vice President, R&D)
Non-Derivative Transactions
| Date | Security | Code | Shares | Price | A/D | Holdings After | Ownership |
|---|---|---|---|---|---|---|---|
| 2014-02-15 | Common Stock | M | 5250 | $0.00 | Acquired | 15183 | Direct |
| 2014-02-15 | Common Stock | F | 2287 | $6.48 | Disposed | 12896 | Direct |
| 2014-02-15 | Common Stock | M | 4062 | $0.00 | Acquired | 16958 | Direct |
| 2014-02-15 | Common Stock | F | 1765 | $6.48 | Disposed | 15193 | Direct |
| 2014-02-15 | Common Stock | M | 5625 | $0.00 | Acquired | 20818 | Direct |
| 2014-02-15 | Common Stock | F | 2171 | $6.48 | Disposed | 18647 | Direct |
| 2014-02-15 | Common Stock | M | 11250 | $0.00 | Acquired | 29897 | Direct |
| 2014-02-15 | Common Stock | F | 4147 | $6.48 | Disposed | 25750 | Direct |
Derivative Transactions
| Date | Security | Exercise Price | Code | Shares | A/D | Expiration | Underlying | Ownership |
|---|---|---|---|---|---|---|---|---|
| 2014-02-15 | Restricted Stock Units | $0.00 | M | 5250 | Disposed | 2014-02-15 | Common Stock (5250) | Direct |
| 2014-02-15 | Restricted Stock Units | $0.00 | M | 4062 | Disposed | 2015-02-15 | Common Stock (4062) | Direct |
| 2014-02-15 | Restricted Stock Units | $0.00 | M | 5625 | Disposed | 2016-02-15 | Common Stock (5625) | Direct |
| 2014-02-15 | Restricted Stock Units | $0.00 | M | 11250 | Disposed | 2015-02-15 | Common Stock (11250) | Direct |
Footnotes
F1: These shares of common stock were acquired upon the vesting of restricted stock units on 2/15/2014. 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 2/15/2014. 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.
F4: These shares of common stock were acquired upon the vesting of restricted stock units on 2/15/2014. 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.
F5: These shares of common stock were acquired upon the vesting of restricted stock units on 2/15/2014. 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.