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HARMONIC INC. — Director's Dealing 2021
Feb 16, 2021
32122_dirs_2021-02-16_3afc8502-500d-4daf-a50e-f95fb793581f.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: 2021-02-15
Reporting Person: Haltmayer Neven (SVP, Video R&D)
Non-Derivative Transactions
| Date | Security | Code | Shares | Price | A/D | Holdings After | Ownership |
|---|---|---|---|---|---|---|---|
| 2021-02-15 | Common Stock | M | 8334 | $0.00 | Acquired | 147960 | Direct |
| 2021-02-15 | Common Stock | F | 4892 | $7.605 | Disposed | 143068 | Direct |
| 2021-02-15 | Common Stock | M | 8334 | $0.00 | Acquired | 151402 | Direct |
| 2021-02-15 | Common Stock | F | 4671 | $7.605 | Disposed | 146731 | Direct |
| 2021-02-15 | Common Stock | M | 29600 | $0.00 | Acquired | 176331 | Direct |
| 2021-02-15 | Common Stock | F | 15542 | $7.605 | Disposed | 160789 | Direct |
Derivative Transactions
| Date | Security | Exercise Price | Code | Shares | A/D | Expiration | Underlying | Ownership |
|---|---|---|---|---|---|---|---|---|
| 2021-02-15 | Restricted Stock Units | $0.00 | M | 8334 | Disposed | 2021-02-15 | Common Stock (8334) | Direct |
| 2021-02-15 | Restricted Stock Units | $0.00 | M | 8334 | Disposed | 2022-02-15 | Common Stock (8334) | Direct |
| 2021-02-15 | Restricted Stock Units | $0.00 | M | 29600 | Disposed | 2023-02-15 | Common Stock (29600) | Direct |
Footnotes
F1: These shares of common stock were acquired upon the vesting of restricted stock units on 2/15/2021. 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.
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 2/15/2021. 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.
F4: These shares of common stock were acquired upon the vesting of restricted stock units on 2/15/2021. 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 2/26/2020.