HARMONIC INC. — Director's Dealing 2020

Nov 17, 2020

SEC Form 4 — Statement of Changes in Beneficial Ownership

Issuer: HARMONIC INC (HLIT)
CIK: 0000851310
Period of Report: 2020-11-15

Reporting Person: Graham Ian (SVP, Global Sales & Video Svcs)

Non-Derivative Transactions

Date	Security	Code	Shares	Price	A/D	Holdings After	Ownership
2020-11-15	Common Stock	M	4167	$0.00	Acquired	74168	Direct
2020-11-15	Common Stock	F	2274	$6.26	Disposed	71894	Direct
2020-11-15	Common Stock	M	4584	$0.00	Acquired	76478	Direct
2020-11-15	Common Stock	F	2502	$6.26	Disposed	73976	Direct

Derivative Transactions

Date	Security	Exercise Price	Code	Shares	A/D	Expiration	Underlying	Ownership
2020-11-15	Restricted Stock Units	$0.00	M	4167	Disposed	2021-02-15	Common Stock (4167)	Direct
2020-11-15	Restricted Stock Units	$0.00	M	4584	Disposed	2022-02-15	Common Stock (4584)	Direct

Footnotes

F1: These shares of common stock were acquired upon the vesting of restricted stock units on November 15, 2020. These restricted stock units were initially granted to the Reporting Person on March 20, 2018, and were identified on a Form 3 filed by the Reporting Person on August 7, 2020.

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 November 15, 2020. These restricted stock units were initially granted to the Reporting Person on June 22, 2019, and were identified on a Form 3 filed by the Reporting Person on August 7, 2020.

F4: Each restricted stock unit represents a contingent right to receive one share of HLIT common stock.