SEC Form 4 · accession 0001209191-18-011517
HARMONIC INC. · HLIT
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Nimrod Ben-Natan
Officer — SVP and GM, Edge Business
Period of report
Feb 15, 2018
Accepted (ET)
Feb 20, 2018 · 6:18 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, 2018 | M | 4,099 | $0.00 | A | 95,286 | D | |
| Common StockF2 | Feb 15, 2018 | M | 4,012 | $0.00 | A | 99,298 | D | |
| Common StockF3 | Feb 15, 2018 | M | 28,000 | $0.00 | A | 127,298 | 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 Unit | $0.00 | Feb 15, 2018 | M | 4,099 | D | Feb 15, 2016 | Feb 15, 2018 | Common Stock | 4,099 | 0 | D |
| Restricted Stock Unit | $0.00 | Feb 15, 2018 | M | 4,012 | D | Feb 15, 2017 | Feb 15, 2018 | Common Stock | 4,012 | 0 | D |
| Restricted Stock Unit | $0.00 | Feb 15, 2018 | M | 28,000 | D | Feb 15, 2018 | Feb 15, 2020 | Common Stock | 28,000 | 56,000 | D |
Explanation of responses
- F1These shares of common stock were acquired upon the vesting of restricted stock units on 2/15/2018. 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.
- F2These shares of common stock were acquired upon the vesting of restricted stock units on 2/15/2018. These restricted stock units 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.
- F3These shares of common stock were acquired upon the vesting of restricted stock units on 2/15/2018. These restricted stock units were initially granted to the Reporting Person on 3/20/2017, and were identified on a Form 4 filed by the Reporting Person on 3/22/2017.