Filing Details
- Accession Number:
- 0001209191-21-010965
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2021-02-16 18:34:29
- Reporting Period:
- 2021-02-11
- Accepted Time:
- 2021-02-16 18:34:29
- 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 |
|---|---|---|---|---|---|---|---|
| 1216448 | Patrick Harshman | 2590 Orchard Parkway San Jose CA 95131 | President And Ceo | Yes | 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 | 2021-02-11 | 89,445 | $6.49 | 1,111,641 | No | 4 | M | Direct | |
| Common Stock | Disposition | 2021-02-11 | 83,167 | $7.81 | 1,028,474 | No | 4 | S | Direct | |
| Common Stock | Acquisiton | 2021-02-12 | 13,527 | $6.49 | 1,042,001 | No | 4 | M | Direct | |
| Common Stock | Disposition | 2021-02-12 | 12,587 | $7.70 | 1,029,414 | No | 4 | S | Direct | |
| Common Stock | Acquisiton | 2021-02-15 | 16,667 | $0.00 | 1,046,081 | No | 4 | M | Direct | |
| Common Stock | Disposition | 2021-02-15 | 8,748 | $7.61 | 1,037,333 | No | 4 | F | Direct | |
| Common Stock | Acquisiton | 2021-02-15 | 16,667 | $0.00 | 1,054,000 | No | 4 | M | Direct | |
| Common Stock | Disposition | 2021-02-15 | 8,775 | $7.61 | 1,045,225 | No | 4 | F | Direct | |
| Common Stock | Acquisiton | 2021-02-15 | 60,944 | $0.00 | 1,106,169 | No | 4 | M | Direct | |
| Common Stock | Disposition | 2021-02-15 | 32,087 | $7.61 | 1,074,082 | No | 4 | F | Direct |
| Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|
| No | 4 | M | Direct | |
| No | 4 | S | Direct | |
| No | 4 | M | Direct | |
| No | 4 | S | Direct | |
| No | 4 | M | Direct | |
| No | 4 | F | Direct | |
| No | 4 | M | Direct | |
| No | 4 | F | Direct | |
| No | 4 | M | Direct | |
| No | 4 | F | Direct |
Reported Derivative Transactions
| Sec. Name | Sec. Type | Acquisiton - Disposition | Date | Amount | Price | Amount - 2 | Price - 2 |
|---|---|---|---|---|---|---|---|
| Common Stock | Stock Option/Right to buy | Disposition | 2021-02-11 | 89,445 | $6.49 | 89,445 | $6.49 |
| Common Stock | Stock Option/Right to buy | Disposition | 2021-02-12 | 13,527 | $6.49 | 13,527 | $6.49 |
| Common Stock | Restricted Stock Units | Disposition | 2021-02-15 | 16,667 | $0.00 | 16,667 | $0.00 |
| Common Stock | Restricted Stock Units | Disposition | 2021-02-15 | 16,667 | $0.00 | 16,667 | $0.00 |
| Common Stock | Restricted Stock Units | Disposition | 2021-02-15 | 60,944 | $0.00 | 60,944 | $0.00 |
| Remaning Holdings | Exercise Date | Expiration Date | Equity Swap Involved | Transaction Form Type | Transaction Code | Nature of Ownership |
|---|---|---|---|---|---|---|
| 235,555 | 2015-02-15 | 2021-03-14 | No | 4 | M | Direct |
| 222,028 | 2015-02-15 | 2021-03-14 | No | 4 | M | Direct |
| 0 | 2019-02-15 | 2021-02-15 | No | 4 | M | Direct |
| 66,666 | 2020-02-15 | 2022-02-15 | No | 4 | M | Direct |
| 121,886 | 2021-02-15 | 2023-02-15 | No | 4 | M | Direct |
Footnotes
- Shares sold to cover exercise price and taxes in connection with exercise of stock option expiring on March 14, 2021.
- 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.
- 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 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.
- 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.
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