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HARMONIC INC. — Director's Dealing 2019
Aug 8, 2019
32122_dirs_2019-08-08_c24f33b5-4ce3-4a8a-8ebc-f6dc8684e9b9.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: 2019-08-06
Reporting Person: HARSHMAN PATRICK (Director, President and CEO)
Non-Derivative Transactions
| Date | Security | Code | Shares | Price | A/D | Holdings After | Ownership |
|---|---|---|---|---|---|---|---|
| 2019-08-06 | Common Stock | M | 21000 | $0.00 | Acquired | 876185 | Direct |
| 2019-08-06 | Common Stock | F | 10411 | $7.26 | Disposed | 865774 | Direct |
| 2019-08-06 | Common Stock | M | 40000 | $0.00 | Acquired | 905774 | Direct |
| 2019-08-06 | Common Stock | F | 19832 | $7.26 | Disposed | 885942 | Direct |
Derivative Transactions
| Date | Security | Exercise Price | Code | Shares | A/D | Expiration | Underlying | Ownership |
|---|---|---|---|---|---|---|---|---|
| 2019-08-06 | Performance Restricted Stock Units | $0.00 | M | 21000 | Disposed | 2020-03-15 | Common Stock (21000) | Direct |
| 2019-08-06 | Performance Restricted Stock Units | $0.00 | M | 40000 | Disposed | 2019-09-30 | Common Stock (40000) | 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 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 4/18/18, and were identified on a Form 4 filed by the Reporting Person on 4/20/18.