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HARMONIC INC. — Director's Dealing 2021
Aug 17, 2021
32122_dirs_2021-08-17_900d6528-d6a6-4b40-955d-3d0fcab7608a.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: 2021-08-15
Reporting Person: Kalra Sanjay (SVP and CFO)
Non-Derivative Transactions
| Date | Security | Code | Shares | Price | A/D | Holdings After | Ownership |
|---|---|---|---|---|---|---|---|
| 2021-08-15 | Common Stock | M | 9583 | $0.00 | Acquired | 182313 | Direct |
| 2021-08-15 | Common Stock | F | 5045 | $9.66 | Disposed | 177268 | Direct |
| 2021-08-15 | Common Stock | M | 10448 | $0.00 | Acquired | 187716 | Direct |
| 2021-08-15 | Common Stock | F | 5500 | $9.66 | Disposed | 182216 | Direct |
Derivative Transactions
| Date | Security | Exercise Price | Code | Shares | A/D | Expiration | Underlying | Ownership |
|---|---|---|---|---|---|---|---|---|
| 2021-08-15 | Restricted Stock Units | $0.00 | M | 9583 | Disposed | 2022-02-15 | Common Stock (9583) | Direct |
| 2021-08-15 | Restricted Stock Units | $0.00 | M | 10448 | Disposed | 2023-02-15 | Common Stock (10448) | Direct |
Footnotes
F1: These shares of common stock were acquired upon the vesting of restricted stock units on 8/15/2021. 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.
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 8/15/2021. 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.