SEC Form 4 · accession 0001209191-18-062958
HARMONIC INC. · HLIT
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Susan Swenson
Director
Period of report
Dec 14, 2018
Accepted (ET)
Dec 17, 2018 · 4:42 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 | Dec 14, 2018 | M | 30,000 | $4.24 | A | 152,444 | D | |
| Common Stock | Dec 14, 2018 | S | 30,000 | $5.1842 | D | 122,444 | 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 | $4.24 | Dec 14, 2018 | M | 30,000 | D | Mar 29, 2012 | Jul 30, 2019 | Common Stock | 30,000 | 0 | D |
Explanation of responses
- F1These shares of common stock were acquired upon the exercise of a stock option/right to buy on December 14, 2018. The option was initially granted to the Reporting Person on 7/30/2012, and was identified on a Form 4 filed by the Reporting Person on 8/1/2012.