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HLIT Harmonic Inc

10.96
-0.14 (-1.26%)
04 May 2024 - Closed
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
  -0.14 -1.26% 10.96 10.97 14.78 11.30 10.91 11.30 1,951,982 05:00:07

Statement of Changes in Beneficial Ownership (4)

21/08/2020 9:10pm

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 *

Graham Ian
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, Global Sales & Video Svcs
(Last)          (First)          (Middle)

2590 ORCHARD PARKWAY
3. Date of Earliest Transaction (MM/DD/YYYY)

8/19/2020
(Street)

SAN JOSE, CA 95131
(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

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 (1)$0.00 8/19/2020  A   20000    8/15/2021 (2)8/15/2023 Common Stock 20000 $0.00 20000 D  

Explanation of Responses:
(1) Each restricted stock unit represents a contingent right to receive one share of HLIT common stock.
(2) Thirty three and one third percent (33 1/3%) of the Shares subject to the Restricted Stock Unit (RSU) Grant are scheduled to vest August 15, 2021, and 8 1/3% increments of the Shares subject to the RSU are scheduled to vest quarterly thereafter, until 100% vested as of August 15, 2023.

Reporting Owners
Reporting Owner Name / Address
Relationships
Director10% OwnerOfficerOther
Graham Ian
2590 ORCHARD PARKWAY
SAN JOSE, CA 95131


SVP, Global Sales & Video Svcs

Signatures
/s/ Laura Donovan By Attorney-in-Fact: Laura Donovan8/21/2020
**Signature of Reporting PersonDate

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