SEC Form 4 · accession 0001209191-16-099452
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 15, 2016
Accepted (ET)
Feb 17, 2016 · 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 StockF1 | Feb 15, 2016 | M | 5,625 | $0.00 | A | 45,560 | D | |
| Common StockF2 | Feb 15, 2016 | F | 2,451 | $3.19 | D | 43,109 | D | |
| Common StockF3 | Feb 15, 2016 | M | 6,250 | $0.00 | A | 49,359 | D | |
| Common StockF2 | Feb 15, 2016 | F | 2,721 | $3.19 | D | 46,638 | D | |
| Common StockF4 | Feb 15, 2016 | M | 10,934 | $0.00 | A | 57,572 | D | |
| Common StockF2 | Feb 15, 2016 | F | 4,215 | $3.19 | D | 53,357 | 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, 2016 | M | 5,625 | D | Feb 15, 2013 | Feb 15, 2016 | Common Stock | 5,625 | 0 | D |
| Restricted Stock Units | $0.00 | Feb 15, 2016 | M | 6,250 | D | Feb 15, 2015 | Feb 15, 2016 | Common Stock | 6,250 | 0 | D |
| Restricted Stock Units | $0.00 | Feb 15, 2016 | M | 10,934 | D | Feb 15, 2016 | Feb 15, 2018 | Common Stock | 10,934 | 16,399 | D |
Explanation of responses
- F1These shares of common stock were acquired upon the vesting of restricted stock units on 2/15/2016. 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.
- 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 2/15/2016. These restricted stock units were initially granted to the recipient on 3/14/2014, and were identified on a Form 4 filed 3/18/2014.
- F4These shares of common stock were acquired upon the vesting of restricted stock units on 2/15/2016. These restricted stock units were initially granted to the Reporting Person on 3/13/2015, and were identified on a Form 4 filed by the Reporting Person on 3/17/2015.