SEC Form 4 · accession 0001209191-15-050441
HARMONIC INC. · HLIT
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
George Stromeyer
Officer — SVP of Worldwide Sales
Period of report
Jun 3, 2015
Accepted (ET)
Jun 5, 2015 · 12:01 pm EDT
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 | Jun 3, 2015 | M | 30,000 | $0.00 | A | 68,177 | D | |
| Common StockF2 | Jun 3, 2015 | F | 11,274 | $7.12 | D | 56,903 | 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 | Jun 3, 2015 | M | 30,000 | D | Jun 3, 2014 | Jun 3, 2015 | Common Stock | 30,000 | 0 | D |
Explanation of responses
- F1These shares of common stock were acquired upon the vesting of restricted stock units on 6/3/2015. These restricted stock units were initially granted to the Reporting Person on 6/14/2013, and were identified on a Form 4 filed by the Reporting Person on 6/14/2013.
- F2Shares of Harmonic Inc. common stock withheld by Harmonic Inc. to satisfy tax withholding obligation upon vesting of restricted stock units.