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HARMONIC INC. — Director's Dealing 2020
Feb 19, 2020
32122_dirs_2020-02-19_7703d719-6f65-4912-9769-30689e2b05d4.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: 2020-02-15
Reporting Person: HARSHMAN PATRICK (Director, President and CEO)
Non-Derivative Transactions
| Date | Security | Code | Shares | Price | A/D | Holdings After | Ownership |
|---|---|---|---|---|---|---|---|
| 2020-02-15 | Common Stock | M | 16334 | $0.00 | Acquired | 940743 | Direct |
| 2020-02-15 | Common Stock | F | 8735 | $6.77 | Disposed | 932008 | Direct |
| 2020-02-15 | Common Stock | M | 16667 | $0.00 | Acquired | 948675 | Direct |
| 2020-02-15 | Common Stock | F | 8223 | $6.77 | Disposed | 940452 | Direct |
| 2020-02-15 | Common Stock | M | 66668 | $0.00 | Acquired | 1007120 | Direct |
| 2020-02-15 | Common Stock | F | 33053 | $6.77 | Disposed | 974067 | Direct |
Derivative Transactions
| Date | Security | Exercise Price | Code | Shares | A/D | Expiration | Underlying | Ownership |
|---|---|---|---|---|---|---|---|---|
| 2020-02-15 | Restricted Stock Units | $0.00 | M | 16334 | Disposed | 2020-02-15 | Common Stock (16334) | Direct |
| 2020-02-15 | Restricted Stock Units | $0.00 | M | 16667 | Disposed | 2021-02-15 | Common Stock (16667) | Direct |
| 2020-02-15 | Restricted Stock Units | $0.00 | M | 66668 | Disposed | 2022-02-15 | Common Stock (66668) | Direct |
Footnotes
F1: These shares of common stock were acquired upon the vesting of restricted stock units on 2/15/2020. These restricted stock units were initially granted to the Reporting Person on 7/11/2017, and were identified on a Form 4 filed by the Reporting Person on 7/12/2017.
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 restricted stock units on 2/15/2020. These restricted stock units were initially granted to the Reporting Person on 3/20/2018, and were identified on a Form 4 filed by the Reporting Person on 3/22/2018.
F4: These shares of common stock were acquired upon the vesting of restricted stock units on 2/15/2020. These restricted stock units were initially granted to the Reporting Person on 4/15/2019, and were identified on a Form 4 filed by the Reporting Person on 4/17/2019.