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HARMONIC INC. — Director's Dealing 2021
Nov 17, 2021
32122_dirs_2021-11-17_ff77e263-272d-4d8c-8642-02790cebb796.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: 2021-11-15
Reporting Person: Graham Ian (SVP, Global Sales & Video Svcs)
Non-Derivative Transactions
| Date | Security | Code | Shares | Price | A/D | Holdings After | Ownership |
|---|---|---|---|---|---|---|---|
| 2021-11-15 | Common Stock | M | 4583 | $0.00 | Acquired | 93041 | Direct |
| 2021-11-15 | Common Stock | F | 2501 | $10.77 | Disposed | 90540 | Direct |
| 2021-11-15 | Common Stock | M | 4092 | $0.00 | Acquired | 94632 | Direct |
| 2021-11-15 | Common Stock | F | 2233 | $10.77 | Disposed | 92399 | Direct |
| 2021-11-15 | Common Stock | M | 1666 | $0.00 | Acquired | 94065 | Direct |
| 2021-11-15 | Common Stock | F | 909 | $10.77 | Disposed | 93156 | Direct |
Derivative Transactions
| Date | Security | Exercise Price | Code | Shares | A/D | Expiration | Underlying | Ownership |
|---|---|---|---|---|---|---|---|---|
| 2021-11-15 | Restricted Stock Units | $0.00 | M | 4583 | Disposed | 2022-02-15 | Common Stock (4583) | Direct |
| 2021-11-15 | Restricted Stock Units | $0.00 | M | 4092 | Disposed | 2023-02-15 | Common Stock (4092) | Direct |
| 2021-11-15 | Restricted Stock Units | $0.00 | M | 1666 | Disposed | 2023-08-15 | Common Stock (1666) | Direct |
Footnotes
F1: These shares of common stock were acquired upon the vesting of restricted stock units on 11/15/2021. These restricted stock units were initially granted to the Reporting Person on 4/15/2019, 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 11/15/2021. These restricted stock units were initially granted to the Reporting Person on 2/24/2020, and were identified on a Form 3 filed by the Reporting Person on August 7, 2020.
F4: These shares of common stock were acquired upon the vesting of restricted stock units on 11/15/2021. These restricted stock units were initially granted to the Reporting Person on 8/19/2020, and were identified on a Form 4 filed by the Reporting Person on 8/21/2020.