Filing Details
- Accession Number:
- 0001209191-17-018006
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2017-03-03 18:39:35
- Reporting Period:
- 2017-03-01
- Filing Date:
- 2017-03-03
- Accepted Time:
- 2017-03-03 18:39:35
- 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 |
|---|---|---|---|---|---|---|---|
| 1229072 | L Harold Covert | 4300 North First Street San Jose CA 95134 | Chief Financial Officer | 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 | 2017-03-01 | 19,689 | $0.00 | 133,979 | No | 4 | M | Direct | |
| Common Stock | Disposition | 2017-03-01 | 7,639 | $5.90 | 126,340 | No | 4 | F | Direct | |
| Common Stock | Acquisiton | 2017-03-02 | 10,369 | $3.14 | 136,709 | No | 4 | M | Direct | |
| Common Stock | Disposition | 2017-03-02 | 10,369 | $5.72 | 126,340 | No | 4 | S | Direct | |
| Common Stock | Disposition | 2017-03-02 | 104,631 | $5.72 | 21,709 | No | 4 | S | Direct | |
| Common Stock | Disposition | 2017-03-03 | 10,000 | $5.72 | 11,709 | No | 4 | S | Direct | |
| Common Stock | Disposition | 2017-03-03 | 11,709 | $5.68 | 0 | 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 | S | Direct | |
| No | 4 | S | Direct | |
| No | 4 | S | 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 Unit | Disposition | 2017-03-01 | 19,689 | $0.00 | 19,689 | $0.00 |
| Common Stock | Stock Option/Right to buy | Disposition | 2017-03-02 | 10,369 | $3.14 | 10,369 | $3.14 |
| Remaning Holdings | Exercise Date | Expiration Date | Equity Swap Involved | Transaction Form Type | Transaction Code | Nature of Ownership |
|---|---|---|---|---|---|---|
| 0 | 2016-11-15 | 2017-03-01 | No | 4 | M | Direct |
| 20,742 | 2016-02-15 | 2023-03-14 | No | 4 | M | Direct |
Footnotes
- These shares of common stock were acquired upon the vesting of performance-based restricted stock units on 3/1/2017. These performance-based restricted stock units were initially granted to the Reporting Person on 8/19/2016, and were identified on a Form 4 filed by the Reporting Person on 8/23/2016.
- 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 exercise of stock options on 3/2/2017. These options were initially granted to the Reporting Person on 3/14/2016, and were identified on a Form 4 filed by the Reporting Person on 3/16/2016.
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