Filing Details
- Accession Number:
- 0001209191-11-010307
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2011-02-16 18:28:45
- Reporting Period:
- 2011-02-14
- Filing Date:
- 2011-02-16
- Accepted Time:
- 2011-02-16 18:28:45
- 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 | 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 | 2011-02-14 | 38,665 | $5.87 | 70,610 | No | 4 | M | Direct | |
| Common Stock | Disposition | 2011-02-14 | 38,665 | $9.96 | 31,945 | No | 4 | S | Direct | |
| Common Stock | Acquisiton | 2011-02-14 | 11,000 | $5.86 | 42,945 | No | 4 | M | Direct | |
| Common Stock | Disposition | 2011-02-14 | 11,000 | $9.96 | 31,945 | No | 4 | S | Direct | |
| Common Stock | Acquisiton | 2011-02-15 | 10,500 | $0.00 | 42,445 | No | 4 | A | Direct | |
| Common Stock | Disposition | 2011-02-15 | 3,985 | $9.63 | 38,460 | No | 4 | F | Direct | |
| Common Stock | Acquisiton | 2011-02-15 | 5,250 | $0.00 | 43,710 | No | 4 | A | Direct | |
| Common Stock | Disposition | 2011-02-15 | 2,193 | $9.63 | 41,517 | No | 4 | F | 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 | A | Direct | |
| No | 4 | F | Direct | |
| No | 4 | A | Direct | |
| No | 4 | F | Direct |
Reported Derivative Transactions
| Sec. Name | Sec. Type | Acquisiton - Disposition | Date | Amount | Price | Amount - 2 | Price - 2 |
|---|---|---|---|---|---|---|---|
| Common Stock | Right to buy | Disposition | 2011-02-14 | 38,665 | $5.87 | 38,665 | $5.87 |
| Common Stock | Right to buy | Disposition | 2011-02-14 | 11,000 | $5.86 | 11,000 | $5.86 |
| Common Stock | Restricted Stock Units | Disposition | 2011-02-15 | 10,500 | $0.00 | 10,500 | $0.00 |
| Common Stock | Restricted Stock Units | Disposition | 2011-02-15 | 5,250 | $0.00 | 5,250 | $0.00 |
| Remaning Holdings | Exercise Date | Expiration Date | Equity Swap Involved | Transaction Form Type | Transaction Code | Nature of Ownership |
|---|---|---|---|---|---|---|
| 6,335 | 2007-02-27 | 2013-02-27 | No | 4 | M | Direct |
| 0 | 2006-05-03 | 2015-05-03 | No | 4 | M | Direct |
| 31,500 | 2011-02-15 | 2014-02-15 | No | 4 | M | Direct |
| 21,000 | 2010-02-15 | 2013-02-15 | No | 4 | M | Direct |
Footnotes
- These shares of common stock were acquired upon the vesting of restricted stock units on 2/15/2011. 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 2/19/2010.
- 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 2/15/2011. These restricted stock units were initially granted to the Reporting Person on 2/24/2009, and were identified on a Form 4 filed by the Reporting Person on 2/26/2009.
- Includes 21,000 unvested shares which remain subject to Restricted Stock Units from the Restricted Stock Unit grant that was made to Mr. Haltmayer on 2/24/2009, previously identified on a Form 4 filed 2/26/2009.
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