SEC Form 4 · accession 0001209191-18-047336
HARMONIC INC. · HLIT
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Timothy Warren
Officer — SVP and CTO, Video Products
Period of report
Aug 15, 2018
Accepted (ET)
Aug 17, 2018 · 4:10 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 | Aug 15, 2018 | M | 6,250 | $0.00 | A | 310,361 | D | |
| Common StockF2,F3 | Aug 15, 2018 | M | 15,910 | $0.00 | A | 326,271 | 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 | Aug 15, 2018 | M | 6,250 | D | Feb 15, 2018 | Feb 15, 2019 | Common Stock | 6,250 | 12,500 | D |
Explanation of responses
- F1These shares of common stock were acquired upon the vesting of restricted stock units on 8/15/2018. These restricted stock units were initially granted to the Reporting Person on 3/20/2017, and were identified on a Form 3 filed by the Reporting Person on 2/15/2018.
- F2These shares of common stock were acquired upon the vesting of performance-based restricted stock units on 8/15/2018.
- F3Includes 1,500 shares of common stock acquired in the company's Section 16-b exempt employee stock purchase plan on 7/2/2018.