SEC Form 4 · accession 0001209191-18-050333
HARMONIC INC. · HLIT
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Sanjay Kalra
Officer — Chief Financial Officer
Period of report
Sep 8, 2018
Accepted (ET)
Sep 10, 2018 · 5:48 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 | Sep 8, 2018 | M | 4,166 | $0.00 | A | 70,614 | D | |
| Common StockF2 | Sep 10, 2018 | F | 1,440 | $5.30 | D | 69,174 | 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 | Sep 8, 2018 | M | 4,166 | D | Jun 8, 2018 | Jun 8, 2020 | Common Stock | 4,166 | 29,167 | D |
Explanation of responses
- F1These shares of common stock were acquired upon the vesting of restricted stock units on 9/8/2018. These restricted stock units were initially granted to the Reporting Person on 6/8/2017, and were identified on a Form 4 filed by the Reporting Person on 6/12/2017.
- F2Shares of Harmonic Inc. common stock withheld by Harmonic Inc. to satisfy tax withholding obligation upon vesting of restricted stock units.