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HARMONIC INC. — Director's Dealing 2020
Feb 19, 2020
32122_dirs_2020-02-19_ec10cc72-6c68-4e24-b718-b9a0e3268641.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: Haltmayer Neven (SVP, Video R&D)
Non-Derivative Transactions
| Date | Security | Code | Shares | Price | A/D | Holdings After | Ownership |
|---|---|---|---|---|---|---|---|
| 2020-02-15 | Common Stock | M | 4959 | $0.00 | Acquired | 177967 | Direct |
| 2020-02-15 | Common Stock | F | 2758 | $6.77 | Disposed | 175209 | Direct |
| 2020-02-15 | Common Stock | M | 8334 | $0.00 | Acquired | 183543 | Direct |
| 2020-02-15 | Common Stock | F | 4630 | $6.77 | Disposed | 178913 | Direct |
| 2020-02-15 | Common Stock | M | 33334 | $0.00 | Acquired | 212247 | Direct |
| 2020-02-15 | Common Stock | F | 16476 | $6.77 | Disposed | 195771 | Direct |
Derivative Transactions
| Date | Security | Exercise Price | Code | Shares | A/D | Expiration | Underlying | Ownership |
|---|---|---|---|---|---|---|---|---|
| 2020-02-15 | Restricted Stock Units | $0.00 | M | 4959 | Disposed | 2020-02-15 | Common Stock (4959) | Direct |
| 2020-02-15 | Restricted Stock Units | $0.00 | M | 8334 | Disposed | 2021-02-15 | Common Stock (8334) | Direct |
| 2020-02-15 | Restricted Stock Units | $0.00 | M | 33334 | Disposed | 2022-02-15 | Common Stock (33334) | 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 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 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.