Filing Details

The remainder of this cover page shall be filled out for a reporting persons initial filing on this form with respect to the subject class of securities, and for any subsequent amendment containing information which would alter the disclosures provided in a prior cover page.

  1. 

NAMES OF REPORTING PERSONS

Comcast Corporation

CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP

(a)  ☐         (b)  ☒

SEC USE ONLY

CITIZENSHIP OR PLACE OF ORGANIZATION

Pennsylvania

NUMBER OF

SHARES

BENEFICIALLY

OWNED BY

EACH

REPORTING

PERSON

WITH

SOLE VOTING POWER

3,217,547 (see Item 4)

SHARED VOTING POWER

0

SOLE DISPOSITIVE POWER

3,217,547 (see Item 4)

SHARED DISPOSITIVE POWER

0

AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON

3,217,547

CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES   ☐

PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9)

3.6% (see Item 4)

TYPE OF REPORTING PERSON

CO

Name of Issuer:

Address of Issuers Principal Executive Offices:

Name of Person Filing:

Address of Principal Business Office or, if None, Residence:

Citizenship:

Title of Class of Securities:

CUSIP Number:

If this Statement is Filed Pursuant to Rule 13d-1(b), or 13d-2(b) or (c), Check Whether the Person Filing is a:

☐ Broker or dealer registered under Section 15 of the Act (15 U.S.C. 78o);

☐ Bank as defined in Section 3(a)(6) of the Act (15 U.S.C. 78c);

☐ Insurance company as defined in Section 3(a)(19) of the Act (15 U.S.C. 78c);

☐ Investment company registered under Section 8 of the Investment Company Act of 1940 (15 U.S.C. 80a-8);

☐ An investment adviser in accordance with §240.13d-1(b)(1)(ii)(E);

☐ An employee benefit plan or endowment fund in accordance with §240.13d-1(b)(1)(ii)(F);

☐ A parent holding company or control person in accordance with §240.13d-1(b)(1)(ii)(G);

☐ A savings association as defined in Section 3(b) of the Federal Deposit Insurance Act (12 U.S.C. 1813);

☐ A church plan that is excluded from the definition of an investment company under section 3(c)(14) of the Investment Company Act of 1940 (15 U.S.C. 80a-3);

☐ Group, in accordance with §240.13d-1(b)(1)(ii)(J).

Ownership.

Amount beneficially owned: 3,217,547. Represents warrant shares issued pursuant to the exercise of the Warrant to Purchase Shares of Common Stock of Harmonic Inc., dated September 26, 2016, which granted the Reporting Person the right to acquire up to 7,816,162 shares of common stock of the Issuer.

Percent of class: 3.6%. Percent of class determined based on 90,343,130 shares of the Issuer shown as outstanding as of October 25, 2019 in the Issuers 10-Q for its fiscal quarter ending September 27, 2019.

Number of shares as to which such person has:

Ownership of Five Percent or Less of a Class.

Ownership of More than Five Percent on Behalf of Another Person.

Identification and Classification of the Subsidiary Which Acquired the Security Being Reported on by the Parent Holding Company.

Identification and Classification of Members of the Group.

Notice of Dissolution of Group.

Certifications.