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HARMONIC INC. — Director's Dealing 2019
Nov 19, 2019
32122_dirs_2019-11-19_5bb16044-5d96-4afd-9cd5-6ac8466fae88.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: 2019-11-15
Reporting Person: Haltmayer Neven (SVP, Video R&D)
Non-Derivative Transactions
| Date | Security | Code | Shares | Price | A/D | Holdings After | Ownership |
|---|---|---|---|---|---|---|---|
| 2019-11-15 | Common Stock | M | 4958 | $0.00 | Acquired | 171264 | Direct |
| 2019-11-15 | Common Stock | F | 2458 | $7.90 | Disposed | 168806 | Direct |
| 2019-11-15 | Common Stock | M | 8333 | $0.00 | Acquired | 177139 | Direct |
| 2019-11-15 | Common Stock | F | 4131 | $7.90 | Disposed | 173008 | Direct |
Derivative Transactions
| Date | Security | Exercise Price | Code | Shares | A/D | Expiration | Underlying | Ownership |
|---|---|---|---|---|---|---|---|---|
| 2019-11-15 | Restricted Stock Units | $0.00 | M | 4958 | Disposed | 2020-02-15 | Common Stock (4958) | Direct |
| 2019-11-15 | Restricted Stock Units | $0.00 | M | 8333 | Disposed | 2021-02-15 | Common Stock (8333) | Direct |
Footnotes
F1: These shares of common stock were acquired upon the vesting of restricted stock units on 11/15/2019. These restricted stock units were initially granted to the Reporting Person on 3/20/2017, and were identified on a Form 4 filed by the Reporting Person on 3/22/2017.
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 restricted stock units on 11/15/2019. These restricted stock units were initially granted to the Reporting Person on 3/20/2018, and were identified on a Form 4 filed by the Reporting Person on 3/22/2018.