SEC Form 4 · accession 0001209191-15-009637

HARMONIC INC. · HLIT

Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗

Reporting owner

Officer — SVP, Operations and Quality

Period of report

Feb 3, 2015

Accepted (ET)

Feb 4, 2015 · 9:09 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
Common Stock^F1	Feb 3, 2015	M	22,500	$5.63	A	31,083	D
Common Stock^F1	Feb 3, 2015	S	22,500	$7.7233	D	8,583	D
Common Stock^F1	Feb 3, 2015	M	7,697	$5.78	A	16,280	D
Common Stock^F1	Feb 3, 2015	S	7,697	$7.78	D	8,583	D
Common Stock^F1	Feb 4, 2015	M	15,662	$5.78	A	24,245	D
Common Stock^F1	Feb 4, 2015	S	15,662	$7.78	D	8,583	D

Security	Conv. / exercise price	Date	Code	Shares	A/D	Exercisable	Expires	Underlying	Underlying shares	Owned after	D/I
Right to buy^F2	$5.63	Feb 3, 2015	M	22,500	D	Feb 15, 2010	Feb 24, 2016	Common Stock	22,500	22,500	D
Right to buy^F3	$5.78	Feb 3, 2015	M	7,697	D	Feb 15, 2014	Mar 15, 2020	Common Stock	7,697	89,803	D
Right to buy^F4	$5.78	Feb 4, 2015	M	15,662	D	Feb 15, 2014	Mar 15, 2020	Common Stock	15,662	74,141	D

F1Per 10b5-1 Plan dated December 12, 2014.
F2These 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 2/24/2009, and were identified on a Form 4 filed by the Reporting Person on 2/26/2009.
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 3/15/2013, and were identified on a Form 4 filed by the Reporting Person on 3/19/2013.
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 3/15/2013, and were identified on a Form 4 filed by the Reporting Person on 3/19/2013.