SEC Form 4 · accession 0001209191-15-009539
HARMONIC INC. · HLIT
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Neven Haltmayer
Officer — Sr. Vice President, R&D
Period of report
Feb 2, 2015
Accepted (ET)
Feb 4, 2015 · 6:04 pm EST
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0000851310
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common Stock | Feb 2, 2015 | M | 78,000 | $5.63 | A | 87,560 | D | |
| Common Stock | Feb 2, 2015 | S | 78,000 | $7.6584 | D | 9,560 | D | |
| Common Stock | Feb 2, 2015 | M | 38,000 | $6.41 | A | 47,560 | D | |
| Common Stock | Feb 2, 2015 | S | 38,000 | $7.6584 | D | 9,560 | D | |
| Common Stock | Feb 3, 2015 | M | 30,000 | $6.41 | A | 39,560 | D | |
| Common Stock | Feb 3, 2015 | S | 30,000 | $7.7374 | D | 9,560 | D | |
| Common Stock | Feb 4, 2015 | M | 10,000 | $6.41 | A | 19,560 | D | |
| Common Stock | Feb 4, 2015 | S | 10,000 | $7.7652 | D | 9,560 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Right to buyF1 | $5.63 | Feb 2, 2015 | M | 78,000 | D | Feb 15, 2010 | Feb 24, 2016 | Common Stock | 78,000 | 0 | D |
| Right to buyF2 | $6.41 | Feb 2, 2015 | M | 38,000 | D | Feb 15, 2011 | Feb 19, 2017 | Common Stock | 38,000 | 40,000 | D |
| Right to buyF3 | $6.41 | Feb 3, 2015 | M | 30,000 | D | Feb 15, 2011 | Feb 19, 2017 | Common Stock | 30,000 | 10,000 | D |
| Right to buyF4 | $6.41 | Feb 4, 2015 | M | 10,000 | D | Feb 15, 2011 | Feb 19, 2017 | Common Stock | 10,000 | 0 | D |
Explanation of responses
- F1These shares of common stock were acquired upon the exercise of stock options on 2/2/2015. These options were initially granted to the Reporting Person on 2/24/2009, and were identified on a Form 4 filed by the Reporting Person on 2/26/2009.
- F2These shares of common stock were acquired upon the exercise of stock options on 2/2/2015. These options were initially granted to the Reporting Person on 2/19/2010, and were identified on a Form 4 filed by the Reporting Person on 2/23/2010.
- F3These shares of common stock were acquired upon the exercise of stock options on 2/3/2015. These options were initially granted to the Reporting Person on 2/19/2010, and were identified on a Form 4 filed by the Reporting Person on 2/23/2010.
- F4These shares of common stock were acquired upon the exercise of stock options on 2/4/2015. These options were initially granted to the Reporting Person on 2/19/2010, and were identified on a Form 4 filed by the Reporting Person on 2/23/2010.