HARMONIC INC. — Director's Dealing 2019

Aug 8, 2019

SEC Form 4 — Statement of Changes in Beneficial Ownership

Issuer: HARMONIC INC (HLIT)
CIK: 0000851310
Period of Report: 2019-08-06

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

Non-Derivative Transactions

Date	Security	Code	Shares	Price	A/D	Holdings After	Ownership
2019-08-06	Common Stock	M	6375	$0.00	Acquired	159813	Direct
2019-08-06	Common Stock	F	2204	$7.26	Disposed	157609	Direct
2019-08-06	Common Stock	M	30000	$5.78	Acquired	187609	Direct
2019-08-06	Common Stock	S	30000	$7.2762	Disposed	157609	Direct
2019-08-07	Common Stock	M	30000	$5.78	Acquired	187609	Direct
2019-08-07	Common Stock	S	30000	$7.204	Disposed	157609	Direct
2019-08-08	Common Stock	M	30000	$0.00	Acquired	187609	Direct
2019-08-08	Common Stock	S	30000	$7.23	Disposed	157609	Direct

Derivative Transactions

Date	Security	Exercise Price	Code	Shares	A/D	Expiration	Underlying	Ownership
2019-08-06	Performance Restricted Stock Units	$0.00	M	6375	Disposed	2020-03-15	Common Stock (6375)	Direct
2019-08-06	Stock Option/Right to Buy	$5.78	M	30000	Disposed	2020-03-15	Common Stock (30000)	Direct
2019-08-07	Stock Option/Right to Buy	$5.78	M	30000	Disposed	2020-03-15	Common Stock (30000)	Direct
2019-08-08	Stock Option/Right to Buy	$5.78	M	30000	Disposed	2020-03-15	Common Stock (30000)	Direct

Footnotes

F1: These shares of common stock were acquired upon the vesting of performance-based restricted stock units on 8/6/2019. These performance-based 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 exercise of a stock option/right to buy on August 6, 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.

F4: These shares of common stock were acquired upon the exercise of a stock option/right to buy on August 7, 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.

F5: These shares of common stock were acquired upon the exercise of a stock option/right to buy on August 8, 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.