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HARMONIC INC. — Director's Dealing 2014
Feb 19, 2014
32122_dirs_2014-02-19_2caef5df-4e46-4c90-9265-36e5f7c6baac.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: HARSHMAN PATRICK (Director, President and CEO)
Non-Derivative Transactions
| Date | Security | Code | Shares | Price | A/D | Holdings After | Ownership |
|---|---|---|---|---|---|---|---|
| 2014-02-15 | Common Stock | M | 13125 | $0.00 | Acquired | 297634 | Direct |
| 2014-02-15 | Common Stock | F | 5237 | $6.48 | Disposed | 292397 | Direct |
| 2014-02-15 | Common Stock | M | 10000 | $0.00 | Acquired | 302397 | Direct |
| 2014-02-15 | Common Stock | F | 3703 | $6.48 | Disposed | 298694 | Direct |
| 2014-02-15 | Common Stock | M | 13750 | $0.00 | Acquired | 312444 | Direct |
| 2014-02-15 | Common Stock | F | 5167 | $6.48 | Disposed | 307277 | Direct |
| 2014-02-15 | Common Stock | M | 27500 | $0.00 | Acquired | 334777 | Direct |
| 2014-02-15 | Common Stock | F | 10334 | $6.48 | Disposed | 324443 | Direct |
Derivative Transactions
| Date | Security | Exercise Price | Code | Shares | A/D | Expiration | Underlying | Ownership |
|---|---|---|---|---|---|---|---|---|
| 2014-02-15 | Restricted Stock Units | $0.00 | M | 13125 | Disposed | 2014-02-15 | Common Stock (13125) | Direct |
| 2014-02-15 | Restricted Stock Units | $0.00 | M | 10000 | Disposed | 2015-02-15 | Common Stock (10000) | Direct |
| 2014-02-15 | Restricted Stock Units | $0.00 | M | 13750 | Disposed | 2016-02-15 | Common Stock (13750) | Direct |
| 2014-02-15 | Restricted Stock Units | $0.00 | M | 27500 | Disposed | 2015-02-15 | Common Stock (27500) | 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.