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HARMONIC INC. — Director's Dealing 2021
May 18, 2021
32122_dirs_2021-05-18_9428b763-9f6d-4d8d-af36-2d9b3ed0a87f.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: 2021-05-15
Reporting Person: Haltmayer Neven (SVP, Video R&D)
Non-Derivative Transactions
| Date | Security | Code | Shares | Price | A/D | Holdings After | Ownership |
|---|---|---|---|---|---|---|---|
| 2021-05-15 | Common Stock | M | 8333 | $0.00 | Acquired | 169122 | Direct |
| 2021-05-15 | Common Stock | F | 4341 | $6.98 | Disposed | 164781 | Direct |
| 2021-05-15 | Common Stock | M | 7400 | $0.00 | Acquired | 172181 | Direct |
| 2021-05-15 | Common Stock | F | 3855 | $6.98 | Disposed | 168326 | Direct |
Derivative Transactions
| Date | Security | Exercise Price | Code | Shares | A/D | Expiration | Underlying | Ownership |
|---|---|---|---|---|---|---|---|---|
| 2021-05-15 | Restricted Stock Units | $0.00 | M | 8333 | Disposed | 2022-02-15 | Common Stock (8333) | Direct |
| 2021-05-15 | Restricted Stock Units | $0.00 | M | 7400 | Disposed | 2023-02-15 | Common Stock (7400) | Direct |
Footnotes
F1: These shares of common stock were acquired upon the vesting of restricted stock units on 5/15/2021. 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 5/15/2021. 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.