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HARMONIC INC. — Director's Dealing 2022
Aug 17, 2022
32122_dirs_2022-08-17_66572d8f-52ec-4e22-b38d-fc8def515657.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: 2022-08-15
Reporting Person: HARSHMAN PATRICK (Director, President and CEO)
Non-Derivative Transactions
| Date | Security | Code | Shares | Price | A/D | Holdings After | Ownership |
|---|---|---|---|---|---|---|---|
| 2022-08-15 | Common Stock | M | 31791 | $0.00 | Acquired | 603559 | Direct |
| 2022-08-15 | Common Stock | F | 16737 | $11.46 | Disposed | 586822 | Direct |
| 2022-08-16 | Common Stock | S | 6040 | $11.3907 | Disposed | 578173 | Direct |
Derivative Transactions
| Date | Security | Exercise Price | Code | Shares | A/D | Expiration | Underlying | Ownership |
|---|---|---|---|---|---|---|---|---|
| 2022-08-15 | Restricted Stock | $0.00 | M | 15236 | Disposed | 2023-02-15 | Common Stock (15236) | Direct |
| 2022-08-15 | Restricted Stock | $0.00 | M | 16555 | Disposed | 2024-02-15 | Common Stock (16555) | Direct |
Footnotes
F1: Shares of Harmonic Inc. common stock withheld by Harmonic Inc. to satisfy tax withholding obligation upon vesting of restricted stock units.
F2: The sale reported in this Form 4 was effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on June 15, 2022.
F3: Reflects an adjustment of 2,609 shares of common stock transferred to the reporting person's ex-spouse pursuant to a marital settlement agreement. The reporting person no longer reports as beneficially owned any securities owned by his ex-spouse.