SEC Form 4 · accession 0001209191-16-137385
HARMONIC INC. · HLIT
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Patrick Harshman
Officer — President and CEO · Director
Period of report
Aug 15, 2016
Accepted (ET)
Aug 16, 2016 · 7:59 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 Stock | Aug 15, 2016 | M | 9,000 | $0.00 | A | 486,113 | D | |
| Common Stock | Aug 15, 2016 | F | 3,382 | $4.21 | D | 482,731 | 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 UnitsF1 | $0.00 | Aug 15, 2016 | M | 9,000 | D | Feb 15, 2016 | Feb 15, 2018 | Common Stock | 9,000 | 27,000 | D |
Explanation of responses
- F1These shares of common stock were acquired upon the vesting of restricted stock units on 8/15/2016. 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.