SEC Form 4 · accession 0001209191-17-003443
HARMONIC INC. · HLIT
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Tom Lookabaugh
Director
Period of report
Jan 11, 2017
Accepted (ET)
Jan 11, 2017 · 6:42 pm EST
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0000851310
Table I — non-derivative securities
No Table I lines on this filing.
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,F2 | $0.00 | Jan 11, 2017 | A | 23,529 | A | Jan 11, 2018 | Jan 11, 2018 | Common Stock | 23,529 | 15,831 | D |
| Stock Option/Right to buyF3 | $5.10 | Jan 11, 2017 | A | 30,000 | A | Feb 11, 2017 | Jan 11, 2020 | Common Stock | 30,000 | 30,000 | D |
Explanation of responses
- F1Each restricted stock unit represents a contingent right to receive one share of Harmonic common stock.
- F2The shares subject to these restricted stock units are scheduled to vest in full in one installment on January 11, 2018. Vested shares will be delivered to the reporting person on or immediately following January 11, 2018.
- F3The Option becomes exercisable as to 1/36th of the Shares subject to the Option at the end of each month following the Vesting Commencement Date.