Filing Details
- Accession Number:
- 0001209191-18-011519
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2018-02-20 18:20:32
- Reporting Period:
- 2018-02-15
- Accepted Time:
- 2018-02-20 18:20:32
- 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 |
|---|---|---|---|---|---|---|---|
| 1380567 | Neven Haltmayer | 4300 North First Street San Jose CA 95134 | Sr. Vice President, R&D | 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 | 2018-02-15 | 4,099 | $0.00 | 73,349 | No | 4 | M | Direct | |
| Common Stock | Disposition | 2018-02-15 | 1,759 | $3.05 | 71,590 | No | 4 | S | Direct | |
| Common Stock | Acquisiton | 2018-02-15 | 3,417 | $0.00 | 75,007 | No | 4 | M | Direct | |
| Common Stock | Disposition | 2018-02-15 | 1,467 | $3.05 | 73,540 | No | 4 | S | Direct | |
| Common Stock | Acquisiton | 2018-02-15 | 19,833 | $0.00 | 93,373 | No | 4 | M | Direct | |
| Common Stock | Disposition | 2018-02-15 | 8,484 | $3.05 | 84,889 | 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 | |
| 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 | 2018-02-15 | 4,099 | $0.00 | 4,099 | $0.00 |
| Common Stock | Restricted Stock Unit | Disposition | 2018-02-15 | 3,417 | $0.00 | 3,417 | $0.00 |
| Common Stock | Restricted Stock Unit | Disposition | 2018-02-15 | 19,833 | $0.00 | 19,833 | $0.00 |
| Remaning Holdings | Exercise Date | Expiration Date | Equity Swap Involved | Transaction Form Type | Transaction Code | Nature of Ownership |
|---|---|---|---|---|---|---|
| 0 | 2016-02-15 | 2018-02-15 | No | 4 | M | Direct |
| 0 | 2017-02-15 | 2018-02-15 | No | 4 | M | Direct |
| 39,667 | 2018-02-15 | 2020-02-15 | No | 4 | M | Direct |
Footnotes
- These shares of common stock were acquired upon the vesting of restricted stock units on 2/15/2018. 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.
- 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.
- These shares of common stock were acquired upon the vesting of restricted stock units on 2/15/2018. 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.
- These shares of common stock were acquired upon the vesting of restricted stock units on 2/15/2018. These restricted stock units were initially granted to the Reporting Person on 3/20/2017, and were identified on a Form 4 filed by the Reporting Person on 3/22/2017.
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