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HARMONIC INC. — Director's Dealing 2015
Feb 4, 2015
32122_dirs_2015-02-04_cbd0bb39-0d2f-44af-a335-047908be4b02.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: 2015-02-02
Reporting Person: Haltmayer Neven (Sr. Vice President, R&D)
Non-Derivative Transactions
| Date | Security | Code | Shares | Price | A/D | Holdings After | Ownership |
|---|---|---|---|---|---|---|---|
| 2015-02-02 | Common Stock | M | 78000 | $5.63 | Acquired | 87560 | Direct |
| 2015-02-02 | Common Stock | S | 78000 | $7.6584 | Disposed | 9560 | Direct |
| 2015-02-02 | Common Stock | M | 38000 | $6.41 | Acquired | 47560 | Direct |
| 2015-02-02 | Common Stock | S | 38000 | $7.6584 | Disposed | 9560 | Direct |
| 2015-02-03 | Common Stock | M | 30000 | $6.41 | Acquired | 39560 | Direct |
| 2015-02-03 | Common Stock | S | 30000 | $7.7374 | Disposed | 9560 | Direct |
| 2015-02-04 | Common Stock | M | 10000 | $6.41 | Acquired | 19560 | Direct |
| 2015-02-04 | Common Stock | S | 10000 | $7.7652 | Disposed | 9560 | Direct |
Derivative Transactions
| Date | Security | Exercise Price | Code | Shares | A/D | Expiration | Underlying | Ownership |
|---|---|---|---|---|---|---|---|---|
| 2015-02-02 | Right to buy | $5.63 | M | 78000 | Disposed | 2016-02-24 | Common Stock (78000) | Direct |
| 2015-02-02 | Right to buy | $6.41 | M | 38000 | Disposed | 2017-02-19 | Common Stock (38000) | Direct |
| 2015-02-03 | Right to buy | $6.41 | M | 30000 | Disposed | 2017-02-19 | Common Stock (30000) | Direct |
| 2015-02-04 | Right to buy | $6.41 | M | 10000 | Disposed | 2017-02-19 | Common Stock (10000) | Direct |
Footnotes
F1: These shares of common stock were acquired upon the exercise of stock options on 2/2/2015. These options 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: These shares of common stock were acquired upon the exercise of stock options on 2/2/2015. These options 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.
F3: These shares of common stock were acquired upon the exercise of stock options on 2/3/2015. These options 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.
F4: These shares of common stock were acquired upon the exercise of stock options on 2/4/2015. These options 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.