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HARMONIC INC. — Director's Dealing 2021
Feb 16, 2021
32122_dirs_2021-02-16_7bbb5e30-ee21-4f39-8f63-63dd9e08d505.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: 2021-02-11
Reporting Person: HARSHMAN PATRICK (Director, President and CEO)
Non-Derivative Transactions
| Date | Security | Code | Shares | Price | A/D | Holdings After | Ownership |
|---|---|---|---|---|---|---|---|
| 2021-02-11 | Common Stock | M | 89445 | $6.49 | Acquired | 1111641 | Direct |
| 2021-02-11 | Common Stock | S | 83167 | $7.8133 | Disposed | 1028474 | Direct |
| 2021-02-12 | Common Stock | M | 13527 | $6.49 | Acquired | 1042001 | Direct |
| 2021-02-12 | Common Stock | S | 12587 | $7.70 | Disposed | 1029414 | Direct |
| 2021-02-15 | Common Stock | M | 16667 | $0.00 | Acquired | 1046081 | Direct |
| 2021-02-15 | Common Stock | F | 8748 | $7.605 | Disposed | 1037333 | Direct |
| 2021-02-15 | Common Stock | M | 16667 | $0.00 | Acquired | 1054000 | Direct |
| 2021-02-15 | Common Stock | F | 8775 | $7.605 | Disposed | 1045225 | Direct |
| 2021-02-15 | Common Stock | M | 60944 | $0.00 | Acquired | 1106169 | Direct |
| 2021-02-15 | Common Stock | F | 32087 | $7.605 | Disposed | 1074082 | Direct |
Derivative Transactions
| Date | Security | Exercise Price | Code | Shares | A/D | Expiration | Underlying | Ownership |
|---|---|---|---|---|---|---|---|---|
| 2021-02-11 | Stock Option/Right to buy | $6.49 | M | 89445 | Disposed | 2021-03-14 | Common Stock (89445) | Direct |
| 2021-02-12 | Stock Option/Right to buy | $6.49 | M | 13527 | Disposed | 2021-03-14 | Common Stock (13527) | Direct |
| 2021-02-15 | Restricted Stock Units | $0.00 | M | 16667 | Disposed | 2021-02-15 | Common Stock (16667) | Direct |
| 2021-02-15 | Restricted Stock Units | $0.00 | M | 16667 | Disposed | 2022-02-15 | Common Stock (16667) | Direct |
| 2021-02-15 | Restricted Stock Units | $0.00 | M | 60944 | Disposed | 2023-02-15 | Common Stock (60944) | Direct |
Footnotes
F1: Shares sold to cover exercise price and taxes in connection with exercise of stock option expiring on March 14, 2021.
F2: 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.
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 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.
F5: 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.