Filing Details

Accession Number:
0001209191-17-049477
Form Type:
4
Zero Holdings:
No
Publication Time:
2017-08-17 18:34:04
Reporting Period:
2017-08-15
Filing Date:
2017-08-17
Accepted Time:
2017-08-17 18:34:04
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
1216448 Patrick Harshman 4300 North First Street
San Jose CA 95134
President And Ceo Yes 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 2017-08-15 9,000 $0.00 570,733 No 4 M Direct
Common Stock Disposition 2017-08-16 3,457 $3.47 567,276 No 4 S Direct
Common Stock Acquisiton 2017-08-15 11,773 $0.00 579,049 No 4 M Direct
Common Stock Disposition 2017-08-16 4,522 $3.47 574,527 No 4 S Direct
Equity Swap Involved Form Type Code Nature of Ownership Explanation
No 4 M Direct
No 4 S Direct
No 4 M 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 2017-08-15 9,000 $0.00 9,000 $0.00
Common Stock Restricted Stock Unit Disposition 2017-08-15 11,773 $0.00 11,773 $0.00
Remaning Holdings Exercise Date Expiration Date Equity Swap Involved Transaction Form Type Transaction Code Nature of Ownership
9,000 2016-02-15 2018-02-15 No 4 M Direct
23,548 2017-02-15 2018-02-15 No 4 M Direct
Footnotes
  1. These shares of common stock were acquired upon the vesting of restricted stock units on 8/15/2017. These restricted stock units were initially granted to the Reporting Person on 3/13/2015, and were identified on a Form 4 filed by the Reporting Person on 3/17/2015.
  2. Represents the number of shares automatically sold to cover tax withholding obligations in connection with the vesting of restricted stock units. This sale is mandated by the Issuer's election under its 1995 Stock Plan to enable the satisfaction of tax withholding obligations with funding from a "sell to cover" transaction and does not represent a discretionary trade by the Reporting Person.
  3. These shares of common stock were acquired upon the vesting of restricted stock units on 8/15/2017. These restricted stock units 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.