Home > Insider Trading > Filing (0001209191-19-045138)

Filing Details

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
1380567	Neven Haltmayer	4300 North First Street San Jose CA 95134	Svp, Video R&D	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
Common Stock	Acquisiton	2019-08-06	6,375	$0.00	159,813	No	4	M	Direct
Common Stock	Disposition	2019-08-06	2,204	$7.26	157,609	No	4	F	Direct
Common Stock	Acquisiton	2019-08-06	30,000	$5.78	187,609	No	4	M	Direct
Common Stock	Disposition	2019-08-06	30,000	$7.28	157,609	No	4	S	Direct
Common Stock	Acquisiton	2019-08-07	30,000	$5.78	187,609	No	4	M	Direct
Common Stock	Disposition	2019-08-07	30,000	$7.20	157,609	No	4	S	Direct
Common Stock	Acquisiton	2019-08-08	30,000	$0.00	187,609	No	4	M	Direct
Common Stock	Disposition	2019-08-08	30,000	$7.23	157,609	No	4	S	Direct

Equity Swap Involved	Form Type	Code	Nature of Ownership
No	4	M	Direct
No	4	F	Direct
No	4	M	Direct
No	4	S	Direct
No	4	M	Direct
No	4	S	Direct
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	Performance Restricted Stock Units	Disposition	2019-08-06	6,375	$0.00	6,375	$0.00
Common Stock	Stock Option/Right to Buy	Disposition	2019-08-06	30,000	$5.78	30,000	$5.78
Common Stock	Stock Option/Right to Buy	Disposition	2019-08-07	30,000	$5.78	30,000	$5.78
Common Stock	Stock Option/Right to Buy	Disposition	2019-08-08	30,000	$5.78	30,000	$5.78

Remaning Holdings	Exercise Date	Expiration Date	Equity Swap Involved	Transaction Form Type	Transaction Code	Nature of Ownership
19,125	2017-03-20	2020-03-15	No	4	M	Direct
90,000	2014-02-15	2020-03-15	No	4	M	Direct
60,000	2014-02-15	2020-03-15	No	4	M	Direct
30,000	2014-02-15	2020-03-15	No	4	M	Direct

Footnotes

These shares of common stock were acquired upon the vesting of performance-based restricted stock units on 8/6/2019. These performance-based restricted stock units were initially granted to the Reporting Person on 3/20/2017, and were identified on a Form 4 filed by the Reporting Person on 3/22/2017.
Shares of Harmonic Inc. common stock withheld by Harmonic Inc. to satisfy tax withholding obligation upon vesting of restricted stock units.
These shares of common stock were acquired upon the exercise of a stock option/right to buy on August 6, 2019. The option was initially granted to the Reporting Person on 3/15/2013, and was identified on a Form 4 filed by the Reporting Person on 3/19/2013.
These shares of common stock were acquired upon the exercise of a stock option/right to buy on August 7, 2019. The option was initially granted to the Reporting Person on 3/15/2013, and was identified on a Form 4 filed by the Reporting Person on 3/19/2013.
These shares of common stock were acquired upon the exercise of a stock option/right to buy on August 8, 2019. The option was initially granted to the Reporting Person on 3/15/2013, and was identified on a Form 4 filed by the Reporting Person on 3/19/2013.