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HLIT Harmonic Inc

11.09
0.35 (3.26%)
After Hours
Last Updated: 21:02:01
Delayed by 15 minutes
Share Name Share Symbol Market Type
Harmonic Inc NASDAQ:HLIT NASDAQ Common Stock
  Price Change % Change Share Price Bid Price Offer Price High Price Low Price Open Price Shares Traded Last Trade
  0.35 3.26% 11.09 11.08 11.48 11.40 10.60 10.70 3,069,352 21:02:01

Statement of Changes in Beneficial Ownership (4)

10/06/2020 9:03pm

Edgar (US Regulatory)


FORM 4 [ ] Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b).         
UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549

STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OF SECURITIES
                                                                                  
OMB APPROVAL
OMB Number: 3235-0287
Estimated average burden
hours per response...
0.5                       
Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934 or Section 30(h) of the Investment Company Act of 1940
                      

1. Name and Address of Reporting Person *

Kalra Sanjay
2. Issuer Name and Ticker or Trading Symbol

HARMONIC INC [ HLIT ]
5. Relationship of Reporting Person(s) to Issuer (Check all applicable)

_____ Director                    _____ 10% Owner
__X__ Officer (give title below)    _____ Other (specify below)
SVP and CFO
(Last)          (First)          (Middle)

4300 NORTH FIRST STREET
3. Date of Earliest Transaction (MM/DD/YYYY)

6/8/2020
(Street)

SAN JOSE, CA 95134
(City)        (State)        (Zip)
4. If Amendment, Date Original Filed (MM/DD/YYYY)

 
6. Individual or Joint/Group Filing (Check Applicable Line)

_X _ Form filed by One Reporting Person
___ Form filed by More than One Reporting Person

Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
1.Title of Security
(Instr. 3)
2. Trans. Date 2A. Deemed Execution Date, if any 3. Trans. Code
(Instr. 8)
4. Securities Acquired (A) or Disposed of (D)
(Instr. 3, 4 and 5)
5. Amount of Securities Beneficially Owned Following Reported Transaction(s)
(Instr. 3 and 4)
6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4) 7. Nature of Indirect Beneficial Ownership (Instr. 4)
Code V Amount (A) or (D) Price
Common Stock 6/8/2020  M  4167 (1)A$0.00 157770 D  
Common Stock 6/8/2020  F  1859 (2)D$5.74 155911 D  

Table II - Derivative Securities Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities)
1. Title of Derivate Security
(Instr. 3)
2. Conversion or Exercise Price of Derivative Security3. Trans. Date3A. Deemed Execution Date, if any4. Trans. Code
(Instr. 8)
5. Number of Derivative Securities Acquired (A) or Disposed of (D)
(Instr. 3, 4 and 5)
6. Date Exercisable and Expiration Date7. Title and Amount of Securities Underlying Derivative Security
(Instr. 3 and 4)
8. Price of Derivative Security
(Instr. 5)
9. Number of derivative Securities Beneficially Owned Following Reported Transaction(s) (Instr. 4)10. Ownership Form of Derivative Security: Direct (D) or Indirect (I) (Instr. 4)11. Nature of Indirect Beneficial Ownership (Instr. 4)
CodeV(A)(D)Date ExercisableExpiration DateTitleAmount or Number of Shares
Restricted Stock Units $0.00 6/8/2020  M     4167  6/8/2018 6/8/2020 Common Stock 4167 $0.00 0 D  

Explanation of Responses:
(1) These shares of common stock were acquired upon the vesting of restricted stock units on 6/8/2020. These restricted stock units were initially granted to the Reporting Person on 6/8/2017, and were identified on a Form 4 filed by the Reporting Person on 6/12/2017.
(2) Shares of Harmonic Inc. common stock withheld by Harmonic Inc. to satisfy tax withholding obligation upon vesting of restricted stock units.

Reporting Owners
Reporting Owner Name / Address
Relationships
Director10% OwnerOfficerOther
Kalra Sanjay
4300 NORTH FIRST STREET
SAN JOSE, CA 95134


SVP and CFO

Signatures
/s/ Laura Donovan By Attorney-in-Fact: Laura Donovan6/10/2020
**Signature of Reporting PersonDate

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