Filing Details
- Accession Number:
- 0001209191-19-060255
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2019-12-12 17:35:04
- Reporting Period:
- 2019-12-10
- Accepted Time:
- 2019-12-12 17:35:04
- 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 |
|---|---|---|---|---|---|---|---|
| 1380567 | Neven Haltmayer | 4300 North First Street San Jose CA 95134 | Svp, Video 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 | 2019-12-10 | 30,000 | $5.78 | 203,008 | No | 4 | M | Direct | |
| Common Stock | Disposition | 2019-12-10 | 30,000 | $8.17 | 173,008 | No | 4 | S | Direct | |
| Common Stock | Acquisiton | 2019-12-10 | 10,000 | $6.49 | 183,008 | No | 4 | M | Direct | |
| Common Stock | Disposition | 2019-12-10 | 10,000 | $8.17 | 173,008 | No | 4 | S | Direct | |
| Common Stock | Acquisiton | 2019-12-10 | 30,000 | $6.49 | 203,008 | No | 4 | M | Direct | |
| Common Stock | Disposition | 2019-12-10 | 30,000 | $8.19 | 173,008 | No | 4 | S | Direct | |
| Common Stock | Acquisiton | 2019-12-11 | 60,000 | $6.49 | 233,008 | No | 4 | M | Direct | |
| Common Stock | Disposition | 2019-12-11 | 60,000 | $8.17 | 173,008 | 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 | |
| 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 | Stock option/right to buy | Disposition | 2019-12-10 | 30,000 | $5.78 | 30,000 | $5.78 |
| Common Stock | Stock option/right to buy | Disposition | 2019-12-10 | 10,000 | $6.49 | 10,000 | $6.49 |
| Common Stock | Stock option/right to buy | Disposition | 2019-12-10 | 30,000 | $6.49 | 30,000 | $6.49 |
| Common Stock | Stock option/right to buy | Disposition | 2019-12-11 | 60,000 | $6.49 | 60,000 | $6.49 |
| Remaning Holdings | Exercise Date | Expiration Date | Equity Swap Involved | Transaction Form Type | Transaction Code | Nature of Ownership |
|---|---|---|---|---|---|---|
| 0 | 2014-02-15 | 2020-03-15 | No | 4 | M | Direct |
| 90,000 | 2015-02-15 | 2021-03-14 | No | 4 | M | Direct |
| 60,000 | 2015-02-15 | 2021-03-14 | No | 4 | M | Direct |
| 0 | 2015-02-15 | 2021-03-14 | No | 4 | M | Direct |
Footnotes
- These shares of common stock were acquired upon the exercise of a stock option/right to buy on December 10, 2019. The option was initially granted to the Reporting Person on 3/15/2013, and was identified on a Form 4 filed by the Reporting Person on 3/19/2013.
- These shares of common stock were acquired upon the exercise of a stock option/right to buy on December 10, 2019. The option was initially granted to the Reporting Person on 3/14/2014, and was identified on a Form 4 filed by the Reporting Person on 3/18/2014.
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