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HARMONIC INC. — Director's Dealing 2017
Feb 17, 2017
32122_dirs_2017-02-17_0d644601-fccd-4151-b6f0-63e81e431ac3.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: 2017-02-15
Reporting Person: HARSHMAN PATRICK (Director, President and CEO)
Non-Derivative Transactions
| Date | Security | Code | Shares | Price | A/D | Holdings After | Ownership |
|---|---|---|---|---|---|---|---|
| 2017-02-15 | Common Stock | M | 9000 | $0.00 | Acquired | 498681 | Direct |
| 2017-02-15 | Common Stock | F | 3926 | $5.70 | Disposed | 494755 | Direct |
| 2017-02-15 | Common Stock | M | 47094 | $0.00 | Acquired | 541849 | Direct |
| 2017-02-15 | Common Stock | F | 17767 | $5.70 | Disposed | 524082 | Direct |
Derivative Transactions
| Date | Security | Exercise Price | Code | Shares | A/D | Expiration | Underlying | Ownership |
|---|---|---|---|---|---|---|---|---|
| 2017-02-15 | Restricted Stock Unit | $0.00 | M | 9000 | Disposed | 2018-02-15 | Common Stock (9000) | Direct |
| 2017-02-15 | Restricted Stock | $0.00 | M | 47094 | Disposed | 2018-02-15 | Common Stock (47094) | Direct |
Footnotes
F1: These shares of common stock were acquired upon the vesting of restricted stock units on 2/15/2017. These restricted stock units were initially granted to the Reporting Person on 3/13/2015, and were identified on a Form 4 filed by the Reporting Person on 3/17/2015.
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 2/15/2017. These restricted stock units were initially granted to the Reporting Person on 3/14/2016, and were identified on a Form 4 filed by the Reporting Person on 3/16/2016.