Filing Details

Accession Number:
0001209191-17-059203
Form Type:
4
Zero Holdings:
No
Publication Time:
2017-11-03 16:56:49
Reporting Period:
2017-11-01
Accepted Time:
2017-11-03 16:56:49
SEC Url:
Form 4 Filing
Issuer
Cik Name Symbol Sector (SIC) IRS No
851310 Harmonic Inc HLIT Radio & Tv Broadcasting & Communications Equipment (3663) 770201147
Insiders
Cik Name Reported Address Insider Title Director Officer Large Shareholder Other
1504670 Sanjay Kalra 4300 North First Street
San Jose CA 95134
Chief Financial Officer No Yes No No
Reported Non-Derivative Transactions
Sec. Name Acquisiton - Disposition Date Amount Price Remaning Holdings Equity Swap Involved Form Type Code Nature of Ownership Explanation
Common Stock Acquisiton 2017-11-01 10,000 $0.00 10,000 No 4 M Direct
Common Stock Disposition 2017-11-02 3,777 $3.70 6,223 No 4 S Direct
Equity Swap Involved Form Type Code Nature of Ownership Explanation
No 4 M Direct
No 4 S Direct
Reported Derivative Transactions
Sec. Name Sec. Type Acquisiton - Disposition Date Amount Price Amount - 2 Price - 2
Common Stock Restricted Stock Unit Disposition 2017-11-01 10,000 $0.00 10,000 $0.00
Remaning Holdings Exercise Date Expiration Date Equity Swap Involved Transaction Form Type Transaction Code Nature of Ownership
20,000 2017-11-01 2019-11-01 No 4 M Direct
Footnotes
  1. These shares of common stock were acquired upon the vesting of restricted stock units on 11/1/2017. These restricted stock units were initially granted to the Reporting Person on 11/21/2016, and were identified on a Form 3 filed by the Reporting Person on 6/6/2017.
  2. Represents the number of shares automatically sold to cover tax withholding obligations in connection with the vesting of restricted stock units. This sale is mandated by the Issuer's election under its 1995 Stock Plan to enable the satisfaction of tax withholding obligations with funding from a "sell to cover" transaction and does not represent a discretionary trade by the Reporting Person.