Filing Details
- Accession Number:
- 0001209191-13-041470
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2013-08-19 19:10:49
- Reporting Period:
- 2013-08-15
- Filing Date:
- 2013-08-19
- Accepted Time:
- 2013-08-19 19:10:49
- SEC Url:
- Form 4 Filing
Issuer
| Cik | Name | Symbol | Sector (SIC) | IRS No |
|---|---|---|---|---|
| 851310 | Harmonic Inc | HLIT | Radio & Tv Broadcasting & Communications Equipment (3663) | 770201147 |
Insiders
| Cik | Name | Reported Address | Insider Title | Director | Officer | Large Shareholder | Other |
|---|---|---|---|---|---|---|---|
| 1380568 | Charles Bonasera | 4300 North First Street San Jose CA 95134 | Sr. Vice President, Operations | No | Yes | No | No |
Reported Non-Derivative Transactions
| Sec. Name | Acquisiton - Disposition | Date | Amount | Price | Remaning Holdings | Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|---|---|---|---|---|---|
| Common Stock | Acquisiton | 2013-08-15 | 5,250 | $0.00 | 5,250 | No | 4 | M | Direct | |
| Common Stock | Disposition | 2013-08-15 | 1,972 | $7.60 | 3,278 | No | 4 | F | Direct | |
| Common Stock | Acquisiton | 2013-08-15 | 3,750 | $0.00 | 7,028 | No | 4 | M | Direct | |
| Common Stock | Disposition | 2013-08-15 | 1,409 | $7.60 | 5,619 | No | 4 | F | Direct | |
| Common Stock | Acquisiton | 2013-08-15 | 5,000 | $0.00 | 10,619 | No | 4 | M | Direct | |
| Common Stock | Disposition | 2013-08-15 | 1,879 | $7.60 | 8,740 | No | 4 | F | Direct | |
| Common Stock | Disposition | 2013-08-16 | 7,336 | $7.70 | 1,404 | No | 4 | S | Direct |
| Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|
| No | 4 | M | Direct | |
| No | 4 | F | Direct | |
| No | 4 | M | Direct | |
| No | 4 | F | Direct | |
| No | 4 | M | Direct | |
| No | 4 | F | Direct | |
| No | 4 | S | Direct |
Reported Derivative Transactions
| Sec. Name | Sec. Type | Acquisiton - Disposition | Date | Amount | Price | Amount - 2 | Price - 2 |
|---|---|---|---|---|---|---|---|
| Common Stock | Restricted Stock Units | Disposition | 2013-08-15 | 5,250 | $0.00 | 5,250 | $0.00 |
| Common Stock | Restricted Stock Units | Disposition | 2013-08-15 | 3,750 | $0.00 | 3,750 | $0.00 |
| Common Stock | Restricted Stock Units | Disposition | 2013-08-15 | 5,000 | $0.00 | 5,000 | $0.00 |
| Remaning Holdings | Exercise Date | Expiration Date | Equity Swap Involved | Transaction Form Type | Transaction Code | Nature of Ownership |
|---|---|---|---|---|---|---|
| 5,250 | 2011-02-15 | 2014-02-15 | No | 4 | M | Direct |
| 11,250 | 2012-02-15 | 2015-02-15 | No | 4 | M | Direct |
| 25,000 | 2013-02-15 | 2016-02-15 | No | 4 | M | Direct |
Footnotes
- These shares of common stock were acquired upon the vesting of restricted stock units on 8/15/2013. These restricted stock units were initially granted to the Reporting Person on 2/19/2010, and were identified on a Form 4 filed by the Reporting Person on 2/23/2010.
- Shares of Harmonic Inc. common stock withheld by Harmonic Inc. to satisfy tax withholding obligation upon vesting of restricted stock units.
- These shares of common stock were acquired upon the vesting of restricted stock units on 8/15/2013. These restricted stock units were initially granted to the Reporting Person on 3/4/2011, and were identified on a Form 4 filed by the Reporting Person on 3/8/2011.
- These shares of common stock were acquired upon the vesting of restricted stock units on 8/15/2013. These restricted stock units were initially granted to the Reporting Person on 2/28/2012, and were identified on a Form 4 filed by the Reporting Person on 3/1/2012.
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