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HARMONIC INC. — Director's Dealing 2018
Feb 15, 2018
32122_dirs_2018-02-15_1230cf44-d9ac-4a94-80d4-1f7d236edc38.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: 2018-02-06
Reporting Person: Warren Timothy (SVP, Video Products)
Holdings (Non-Derivative)
| Security | Shares | Ownership |
|---|---|---|
| Common Stock | 239581 | Direct |
Holdings (Derivative)
| Security | Exercise Price | Expiration | Underlying | Shares | Ownership |
|---|---|---|---|---|---|
| Stock Option/Right to Buy | $6.67 | 2020-12-13 | Common Stock (25000) | Direct | |
| Stock Option/Right to Buy | $6.49 | 2021-03-14 | Common Stock (30000) | Direct | |
| Stock Option/Right to Buy | $7.58 | 2022-03-13 | Common Stock (12000) | Direct | |
| Restricted Stock Units | $0.00 | 2018-02-15 | Common Stock (2400) | Direct | |
| Stock Option/Right to Buy | $3.23 | 2023-03-24 | Common Stock (45000) | Direct | |
| Restricted Stock Units | $0.00 | 2018-02-15 | Common Stock (2250) | Direct | |
| Restricted Stock Units | $0.00 | 2018-08-01 | Common Stock (6250) | Direct | |
| Restricted Stock Units | $0.00 | 2019-02-15 | Common Stock (50000) | Direct |
Footnotes
F1: Fifty percent of the Shares subject to the Option vested twelve months after the Vesting Commencement Date, and one twenty fourth 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: Forty percent of the shares subject to the restricted stock units vested 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.
F4: Thirty three percent of the Shares subject to the Option vested twelve months after the Vesting Commencement Date, and one thirty sixth of the Shares subject to the Option are scheduled to vest monthly thereafter.
F5: Fifty percent of the shares subject to the restricted stock units vested on February 15, 2017, and twenty five percent of the restricted stock units are scheduled to vest quarterly thereafter so as to be 100% vested on February 15, 2018.
F6: Fifty percent of the shares subject to the restricted stock units vested on August 1, 2017, and twenty five percent of the restricted stock units are scheduled to vest quarterly thereafter so as to be 100% vested on August 1, 2018.
F7: Fifty percent of the Shares subject to the Restricted Stock Units are scheduled to vest on February 15, 2018, and twenty five percent of the remaining Restricted Stock Units will vest each three months thereafter.