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HARMONIC INC. — Director's Dealing 2021
Nov 16, 2021
32122_dirs_2021-11-16_3bcd057e-bf36-4b0f-b791-111f3d934c07.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: 2021-11-12
Reporting Person: Kalra Sanjay (SVP and CFO)
Non-Derivative Transactions
| Date | Security | Code | Shares | Price | A/D | Holdings After | Ownership |
|---|---|---|---|---|---|---|---|
| 2021-11-12 | Common Stock | S | 91176 | $10.7871 | Disposed | 92540 | Direct |
| 2021-11-15 | Common Stock | M | 9583 | $0.00 | Acquired | 102123 | Direct |
| 2021-11-15 | Common Stock | F | 5045 | $10.77 | Disposed | 97078 | Direct |
| 2021-11-15 | Common Stock | M | 10447 | $0.00 | Acquired | 107525 | Direct |
| 2021-11-15 | Common Stock | F | 5500 | $10.77 | Disposed | 102025 | Direct |
Derivative Transactions
| Date | Security | Exercise Price | Code | Shares | A/D | Expiration | Underlying | Ownership |
|---|---|---|---|---|---|---|---|---|
| 2021-11-15 | Restricted Stock Units | $0.00 | M | 9583 | Disposed | 2022-02-15 | Common Stock (9583) | Direct |
| 2021-11-15 | Restricted Stock Units | $0.00 | M | 10447 | Disposed | 2023-02-15 | Common Stock (10447) | Direct |
Footnotes
F1: Includes 1,500 shares of common stock acquired in the company's Section 16-b exempt employee stock purchase plan on 7/1/2021.
F2: 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 4 filed by the Reporting Person on 4/17/2019.
F3: Shares of Harmonic Inc. common stock withheld by Harmonic Inc. to satisfy tax withholding obligation upon vesting of restricted stock units.
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 2/24/2020, and were identified on a Form 4 filed by the Reporting Person on February 26, 2020.