SEC Form 4 · accession 0001209191-17-033680
HARMONIC INC. · HLIT
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Harold L Covert
Officer — Chief Financial Officer
Period of report
May 17, 2017
Accepted (ET)
May 18, 2017 · 5:36 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 | May 17, 2017 | M | 864 | $3.14 | A | 1,679 | D | |
| Common Stock | May 17, 2017 | S | 864 | $5.00 | D | 815 | D | |
| Common Stock | May 17, 2017 | S | 815 | $5.00 | D | 0 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Stock Option/Right to Buy | $3.14 | May 17, 2017 | M | 864 | D | Feb 15, 2017 | Mar 14, 2023 | Common Stock | 864 | 18,150 | D |
Explanation of responses
- F1These shares of common stock were acquired upon the exercise of stock options on 5/17/2017. These options were initially granted to the Reporting Person on 3/14/2016, and were identified on a Form 4 filed by the Reporting Person on 3/16/2016.