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HARMONIC INC. — Director's Dealing 2022
Feb 17, 2022
32122_dirs_2022-02-17_aaa4c99e-2e4e-4288-8fd7-63a70c9bf8a7.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: 2022-02-15
Reporting Person: Graham Ian (SVP, Global Sales & Video Svcs)
Non-Derivative Transactions
| Date | Security | Code | Shares | Price | A/D | Holdings After | Ownership |
|---|---|---|---|---|---|---|---|
| 2022-02-15 | Common Stock | M | 4584 | $0.00 | Acquired | 97740 | Direct |
| 2022-02-15 | Common Stock | F | 2502 | $9.43 | Disposed | 95238 | Direct |
| 2022-02-15 | Common Stock | M | 4092 | $0.00 | Acquired | 99330 | Direct |
| 2022-02-15 | Common Stock | F | 2233 | $9.43 | Disposed | 97097 | Direct |
| 2022-02-15 | Common Stock | M | 1667 | $0.00 | Acquired | 98764 | Direct |
| 2022-02-15 | Common Stock | F | 910 | $9.43 | Disposed | 97854 | Direct |
| 2022-02-15 | Common Stock | M | 27671 | $0.00 | Acquired | 125525 | Direct |
| 2022-02-15 | Common Stock | F | 15105 | $9.43 | Disposed | 110420 | Direct |
Derivative Transactions
| Date | Security | Exercise Price | Code | Shares | A/D | Expiration | Underlying | Ownership |
|---|---|---|---|---|---|---|---|---|
| 2022-02-15 | Restricted Stock Units | $0.00 | M | 4584 | Disposed | 2022-02-15 | Common Stock (4584) | Direct |
| 2022-02-15 | Restricted Stock Units | $0.00 | M | 4092 | Disposed | 2023-02-15 | Common Stock (4092) | Direct |
| 2022-02-15 | Restricted Stock Units | $0.00 | M | 1667 | Disposed | 2023-08-15 | Common Stock (1667) | Direct |
| 2022-02-15 | Restricted Stock Units | $0.00 | M | 27671 | Disposed | 2024-02-15 | Common Stock (27671) | Direct |
Footnotes
F1: These shares of common stock were acquired upon the vesting of restricted stock units on 2/15/2022. These restricted stock units were initially granted to the Reporting Person on 6/22/2019, and were identified on a Form 3 filed by the Reporting Person on August 7, 2020.
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 2/15/2022. These restricted stock units were initially granted to the Reporting Person on 2/24/2020, and were identified on a Form 3 filed by the Reporting Person on August 7, 2020.
F4: These shares of common stock were acquired upon the vesting of restricted stock units on 2/15/2022. These restricted stock units were initially granted to the Reporting Person on 8/19/2020, and were identified on a Form 4 filed by the Reporting Person on 8/21/2020.
F5: These shares of common stock were acquired upon the vesting of restricted stock units on 2/15/2022. These restricted stock units were initially granted to the Reporting Person on 2/16/2021, and were identified on a Form 4 filed by the Reporting Person on 2/18/2021.