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HARMONIC INC. — Director's Dealing 2018
Aug 17, 2018
32122_dirs_2018-08-17_28681018-8d0b-4f81-8982-455cbc4a346b.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: Kalra Sanjay (Chief Financial Officer)
Non-Derivative Transactions
| Date | Security | Code | Shares | Price | A/D | Holdings After | Ownership |
|---|---|---|---|---|---|---|---|
| 2018-08-15 | Common Stock | M | 1375 | $0.00 | Acquired | 55851 | Direct |
| 2018-08-15 | Common Stock | F | 475 | $5.25 | Disposed | 55376 | Direct |
| 2018-08-15 | Common Stock | M | 16923 | $0.00 | Acquired | 72299 | Direct |
| 2018-08-15 | Common Stock | F | 5851 | $5.25 | Disposed | 66448 | Direct |
Derivative Transactions
| Date | Security | Exercise Price | Code | Shares | A/D | Expiration | Underlying | Ownership |
|---|---|---|---|---|---|---|---|---|
| 2018-08-15 | Restricted Stock Unit | $0.00 | M | 1375 | Disposed | 2019-02-15 | Common Stock (1375) | 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 6/12/2017.
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.
F4: Includes 1,500 shares of common stock acquired in the company's Section 16-b exempt employee stock purchase plan on 7/2/2018.