SEC Form 4 · accession 0001209191-19-018710
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
Mar 8, 2019
Accepted (ET)
Mar 12, 2019 · 2:13 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 | Mar 8, 2019 | M | 4,166 | $0.00 | A | 100,828 | D | |
| Common StockF2 | Mar 8, 2019 | F | 1,773 | $5.61 | D | 99,055 | 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 Units | $0.00 | Mar 8, 2019 | M | 4,166 | D | Jun 8, 2018 | Jun 8, 2020 | Common Stock | 4,166 | 20,834 | D |
Explanation of responses
- F1These shares of common stock were acquired upon the vesting of restricted stock units on March 8, 2019. These restricted stock units were initially granted to the Reporting Person on June 8, 2017, and were identified on a Form 4 filed by the Reporting Person on June 12, 2017.
- F2Shares of Harmonic Inc. common stock withheld by Harmonic Inc. to satisfy tax withholding obligation upon vesting of restricted stock units.