HARMONIC INC. — Director's Dealing 2019

Dec 12, 2019

SEC Form 4 — Statement of Changes in Beneficial Ownership

Issuer: HARMONIC INC (HLIT)
CIK: 0000851310
Period of Report: 2019-12-10

Reporting Person: Haltmayer Neven (SVP, Video R&D)

Non-Derivative Transactions

Date	Security	Code	Shares	Price	A/D	Holdings After	Ownership
2019-12-10	Common Stock	M	30000	$5.78	Acquired	203008	Direct
2019-12-10	Common Stock	S	30000	$8.1712	Disposed	173008	Direct
2019-12-10	Common Stock	M	10000	$6.49	Acquired	183008	Direct
2019-12-10	Common Stock	S	10000	$8.1712	Disposed	173008	Direct
2019-12-10	Common Stock	M	30000	$6.49	Acquired	203008	Direct
2019-12-10	Common Stock	S	30000	$8.192	Disposed	173008	Direct
2019-12-11	Common Stock	M	60000	$6.49	Acquired	233008	Direct
2019-12-11	Common Stock	S	60000	$8.173	Disposed	173008	Direct

Derivative Transactions

Date	Security	Exercise Price	Code	Shares	A/D	Expiration	Underlying	Ownership
2019-12-10	Stock option/right to buy	$5.78	M	30000	Disposed	2020-03-15	Common Stock (30000)	Direct
2019-12-10	Stock option/right to buy	$6.49	M	10000	Disposed	2021-03-14	Common Stock (10000)	Direct
2019-12-10	Stock option/right to buy	$6.49	M	30000	Disposed	2021-03-14	Common Stock (30000)	Direct
2019-12-11	Stock option/right to buy	$6.49	M	60000	Disposed	2021-03-14	Common Stock (60000)	Direct

Footnotes

F1: These shares of common stock were acquired upon the exercise of a stock option/right to buy on December 10, 2019. The option was initially granted to the Reporting Person on 3/15/2013, and was identified on a Form 4 filed by the Reporting Person on 3/19/2013.

F2: These shares of common stock were acquired upon the exercise of a stock option/right to buy on December 10, 2019. The option was initially granted to the Reporting Person on 3/14/2014, and was identified on a Form 4 filed by the Reporting Person on 3/18/2014.