SEC Form 4 · accession 0001209191-19-011658
HARMONIC INC. · HLIT
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Neven Haltmayer
Officer — Sr. Vice President, R&D
Period of report
Feb 15, 2019
Accepted (ET)
Feb 20, 2019 · 5:16 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 Stock | Feb 15, 2019 | M | 4,958 | $0.00 | A | 129,219 | D | |
| Common Stock | Feb 15, 2019 | F | 2,014 | $5.49 | D | 127,205 | D | |
| Common Stock | Feb 15, 2019 | M | 33,334 | $0.00 | A | 160,539 | D | |
| Common Stock | Feb 15, 2019 | F | 14,733 | $5.49 | D | 145,806 | 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 UnitsF1 | $0.00 | Feb 15, 2019 | M | 4,958 | D | Feb 15, 2018 | Feb 15, 2020 | Common Stock | 4,958 | 19,834 | D |
| Restricted Stock UnitsF2 | $0.00 | Feb 15, 2019 | M | 33,334 | D | Feb 15, 2019 | Feb 15, 2021 | Common Stock | 33,334 | 66,666 | D |
Explanation of responses
- F1These shares of common stock were acquired upon the vesting of restricted stock units on 2/15/2019. 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.
- F2These shares of common stock were acquired upon the vesting of restricted stock units on February 15, 2019. These restricted stock units were initially granted to the Reporting Person on March 20, 2018, and were identified on a Form 4 filed by the Reporting Person on March 22, 2018.