SEC Form 4 · accession 0001209191-15-015252
HARMONIC INC. · HLIT
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Carolyn V Aver
Officer — Chief Financial Officer
Period of report
Feb 15, 2015
Accepted (ET)
Feb 18, 2015 · 4:07 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 StockF1 | Feb 15, 2015 | M | 5,000 | $0.00 | A | 30,624 | D | |
| Common StockF2 | Feb 15, 2015 | F | 2,179 | $7.90 | D | 28,445 | D | |
| Common StockF3 | Feb 15, 2015 | M | 6,875 | $0.00 | A | 35,320 | D | |
| Common StockF2 | Feb 15, 2015 | F | 2,705 | $7.90 | D | 32,615 | D | |
| Common StockF4 | Feb 15, 2015 | M | 6,875 | $0.00 | A | 39,490 | D | |
| Common StockF2 | Feb 15, 2015 | F | 2,527 | $7.90 | D | 36,963 | D | |
| Common StockF5 | Feb 15, 2015 | M | 14,000 | $0.00 | A | 50,963 | D | |
| Common StockF2 | Feb 15, 2015 | F | 5,261 | $7.90 | D | 45,702 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Restricted Stock Units | $0.00 | Feb 15, 2015 | M | 5,000 | D | Feb 15, 2012 | Feb 15, 2015 | Common Stock | 5,000 | 0 | D |
| Restricted Stock Units | $0.00 | Feb 15, 2015 | M | 6,875 | D | Feb 15, 2013 | Feb 15, 2016 | Common Stock | 6,875 | 13,750 | D |
| Restricted Stock Units | $0.00 | Feb 15, 2015 | M | 6,875 | D | Feb 15, 2014 | Feb 15, 2015 | Common Stock | 6,875 | 0 | D |
| Restricted Stock Units | $0.00 | Feb 15, 2015 | M | 14,000 | D | Feb 15, 2015 | Feb 15, 2016 | Common Stock | 14,000 | 14,000 | D |
Explanation of responses
- F1These shares of common stock were acquired upon the vesting of restricted stock units on 2/15/2015. These restricted stock units were initially granted to the Reporting Person on 3/4/2011, and were identified on a Form 4 filed by the Reporting Person on 3/8/2011.
- F2Shares of Harmonic Inc. common stock withheld by Harmonic Inc. to satisfy tax withholding obligation upon vesting of restricted stock units.
- F3These shares of common stock were acquired upon the vesting of restricted stock units on 2/15/2015. These restricted stock units were initially granted to the Reporting Person on 2/28/2012, and were identified on a Form 4 filed by the Reporting Person on 3/1/2012.
- F4These shares of common stock were acquired upon the vesting of restricted stock units on 2/15/2015. These restricted stock units 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.
- F5These shares of common stock were acquired upon the vesting of restricted stock units on 2/15/2015. These restricted stock units were initially granted to the Reporting Person on 3/14/2014, and were identified on a Form 4 filed by the Reporting Person on 3/18/2014.