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HARMONIC INC. — Director's Dealing 2016
Feb 12, 2016
32122_dirs_2016-02-12_08bee438-7d2f-4480-a055-66294574327f.zip
Director's Dealing
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SEC Form 3 — Initial Statement of Beneficial Ownership
Issuer: HARMONIC INC (HLIT)
CIK: 0000851310
Period of Report: 2016-02-02
Reporting Person: Haltmayer Neven (Sr. Vice President, R&D)
Holdings (Non-Derivative)
| Security | Shares | Ownership |
|---|---|---|
| Holding | 39935 | Direct |
Holdings (Derivative)
| Security | Exercise Price | Expiration | Underlying | Shares | Ownership |
|---|---|---|---|---|---|
| Stock Option/Right to buy | $9.69 | 2018-03-04 | Common Stock (65000) | Direct | |
| Stock Option/Right to buy | $6.14 | 2019-02-28 | Common Stock (80000) | Direct | |
| Restricted Stock Units | $0.00 | 2016-02-15 | Common Stock (5625) | Direct | |
| Stock Option/Right to buy | $5.78 | 2020-03-15 | Common Stock (120000) | Direct | |
| Stock Option/Right to buy | $6.49 | 2021-03-14 | Common Stock (100000) | Direct | |
| Restricted Stock Units | $0.00 | 2016-02-15 | Common Stock (6250) | Direct | |
| Stock Option/Right to buy | $7.58 | 2022-03-13 | Common Stock (80000) | Direct | |
| Restricted Stock Units | $0.00 | 2018-02-15 | Common Stock (27333) | Direct |
Footnotes
F1: Twenty-five percent of the Shares subject to the Option vested twelve months after the Vesting Commencement Date, and one forty eighth of the Shares subject to the Option vested monthly thereafter.
F2: Twenty-five percent of the Shares subject to the Option vested twelve months after the Vesting Commencement Date, and one forty eighth of the Shares subject to the Option vests monthly thereafter.
F3: Each restricted stock unit represents a contingent right to receive one share of HLIT common stock.
F4: The shares subject to the restricted stock units are scheduled to vest in full on February 15, 2016.
F5: Twenty-five percent of the Shares subject to the Option will vest twelve months after the Vesting Commencement Date, and one forty eighth of the Shares subject to the Option vests monthly thereafter.
F6: Forty percent of the shares subject to the restricted stock units are scheduled to vest on February 15, 2016, and fifteen percent of the restricted stock units are scheduled to vest semi-annually thereafter so as to be 100% vested on February 15, 2018.