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HARMONIC INC. — Director's Dealing 2020
Aug 18, 2020
32122_dirs_2020-08-18_1be8e5a5-e090-4caf-8590-acb7bebba587.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: 2020-08-15
Reporting Person: Graham Ian (SVP, Global Sales & Video Svcs)
Non-Derivative Transactions
| Date | Security | Code | Shares | Price | A/D | Holdings After | Ownership |
|---|---|---|---|---|---|---|---|
| 2020-08-15 | Common Stock | M | 4166 | $0.00 | Acquired | 70193 | Direct |
| 2020-08-15 | Common Stock | F | 2274 | $6.72 | Disposed | 67919 | Direct |
| 2020-08-15 | Common Stock | M | 4583 | $0.00 | Acquired | 72502 | Direct |
| 2020-08-15 | Common Stock | F | 2501 | $6.72 | Disposed | 70001 | Direct |
Derivative Transactions
| Date | Security | Exercise Price | Code | Shares | A/D | Expiration | Underlying | Ownership |
|---|---|---|---|---|---|---|---|---|
| 2020-08-15 | Restricted Stock Units | $0.00 | M | 4166 | Disposed | 2021-02-15 | Common Stock (4166) | Direct |
| 2020-08-15 | Restricted Stock Units | $0.00 | M | 4583 | Disposed | 2022-02-15 | Common Stock (4583) | Direct |
Footnotes
F1: These shares of common stock were acquired upon the vesting of restricted stock units on August 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: These shares of common stock were acquired upon the vesting of restricted stock units on August 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.
F3: Each restricted stock unit represents a contingent right to receive one share of HLIT common stock.