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HARMONIC INC. — Director's Dealing 2018
Aug 17, 2018
32122_dirs_2018-08-17_fce56313-aa46-4f7b-9361-4d18e0bbaff7.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: 2018-08-15
Reporting Person: Haltmayer Neven (Sr. Vice President, R&D)
Non-Derivative Transactions
| Date | Security | Code | Shares | Price | A/D | Holdings After | Ownership |
|---|---|---|---|---|---|---|---|
| 2018-08-15 | Common Stock | M | 4958 | $0.00 | Acquired | 110990 | Direct |
| 2018-08-15 | Common Stock | F | 1714 | $5.25 | Disposed | 109276 | Direct |
| 2018-08-15 | Common Stock | M | 17945 | $0.00 | Acquired | 127221 | Direct |
| 2018-08-15 | Common Stock | F | 6205 | $5.25 | Disposed | 121016 | Direct |
Derivative Transactions
| Date | Security | Exercise Price | Code | Shares | A/D | Expiration | Underlying | Ownership |
|---|---|---|---|---|---|---|---|---|
| 2018-08-15 | Restricted Stock Unit | $0.00 | M | 4958 | Disposed | 2020-02-15 | Common Stock (4958) | Direct |
Footnotes
F1: These shares of common stock were acquired upon the vesting of restricted stock units on 8/15/2018. These restricted stock units were initially granted to the Reporting Person on 3/20/2017, and were identified on a Form 3 filed by the Reporting Person on 2/15/2018.
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 performance-based restricted stock units on 8/15/2018.