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HARMONIC INC. — Director's Dealing 2019
Feb 20, 2019
32122_dirs_2019-02-20_7bc22196-0158-458c-b07c-a2a727497daf.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: 2019-02-15
Reporting Person: Kalra Sanjay (Chief Financial Officer)
Non-Derivative Transactions
| Date | Security | Code | Shares | Price | A/D | Holdings After | Ownership |
|---|---|---|---|---|---|---|---|
| 2019-02-15 | Common Stock | M | 1375 | $0.00 | Acquired | 78947 | Direct |
| 2019-02-15 | Common Stock | F | 558 | $5.49 | Disposed | 78389 | Direct |
| 2019-02-15 | Common Stock | M | 33334 | $0.00 | Acquired | 111723 | Direct |
| 2019-02-15 | Common Stock | F | 15061 | $5.49 | Disposed | 96662 | Direct |
Derivative Transactions
| Date | Security | Exercise Price | Code | Shares | A/D | Expiration | Underlying | Ownership |
|---|---|---|---|---|---|---|---|---|
| 2019-02-15 | Restricted Stock Units | $0.00 | M | 1375 | Disposed | 2020-02-15 | Common Stock (1375) | Direct |
| 2019-02-15 | Restricted Stock Units | $0.00 | M | 33334 | Disposed | 2021-02-15 | Common Stock (33334) | Direct |
Footnotes
F1: Includes 1,500 shares of common stock acquired in the company's Section 16-b exempt employee stock purchase plan on 1/2/2019.
F2: These shares of common stock were acquired upon the vesting of restricted stock units on 2/15/2019. These restricted stock units were initially granted to the Reporting Person on 3/20/2017, and were identified on a Form 3 filed by the Reporting Person on 6/6/2017.
F3: These shares of common stock were acquired upon the vesting of restricted stock units on February 15, 2019. These restricted stock units were initially granted to the Reporting Person on March 20, 2018, and were identified on a Form 4 filed by the Reporting Person on March 22, 2018.