-----BEGIN PRIVACY-ENHANCED MESSAGE----- Proc-Type: 2001,MIC-CLEAR Originator-Name: webmaster@www.sec.gov Originator-Key-Asymmetric: MFgwCgYEVQgBAQICAf8DSgAwRwJAW2sNKK9AVtBzYZmr6aGjlWyK3XmZv3dTINen TWSM7vrzLADbmYQaionwg5sDW3P6oaM5D3tdezXMm7z1T+B+twIDAQAB MIC-Info: RSA-MD5,RSA, SGWxX03T0zjQomdy3fCXFzHYwhSwhSVgfyNqi373QoWyVuUgogrqt9YkIWQcwdMs Ng1hGZnhSJ/ukixhtoikHA== 0001209191-11-016233.txt : 20110308 0001209191-11-016233.hdr.sgml : 20110308 20110308152731 ACCESSION NUMBER: 0001209191-11-016233 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20110304 FILED AS OF DATE: 20110308 DATE AS OF CHANGE: 20110308 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: AVER CAROLYN V CENTRAL INDEX KEY: 0001227773 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 000-25826 FILM NUMBER: 11671805 MAIL ADDRESS: STREET 1: 6373 SAN IGNACIO AVENUE CITY: SAN JOSE STATE: CA ZIP: 95119 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: HARMONIC INC CENTRAL INDEX KEY: 0000851310 STANDARD INDUSTRIAL CLASSIFICATION: RADIO & TV BROADCASTING & COMMUNICATIONS EQUIPMENT [3663] IRS NUMBER: 770201147 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 BUSINESS ADDRESS: STREET 1: 549 BALTIC WAY CITY: SUNNYVALE STATE: CA ZIP: 94089 BUSINESS PHONE: 4085422500 FORMER COMPANY: FORMER CONFORMED NAME: HARMONIC LIGHTWAVES INC DATE OF NAME CHANGE: 19950404 4 1 doc4.xml FORM 4 SUBMISSION X0303 4 2011-03-04 0 0000851310 HARMONIC INC HLIT 0001227773 AVER CAROLYN V 4300 NORTH FIRST STREET SAN JOSE CA 95134 0 1 0 0 Chief Financial Officer Restricted Stock Units 0.00 2011-03-04 4 A 0 40000 0.00 A 2012-02-15 2015-02-15 Common Stock 40000 40000 D Right to buy 9.69 2011-03-04 4 A 0 80000 0.00 A 2012-02-15 2015-02-15 Common Stock 80000 80000 D Each restricted stock unit represents a contingent right to receive one share of Harmonic common stock. Twenty five percent of the shares subject to the restricted stock units are scheduled to vest on February 15, 2012, and twelve and one half percent of the restricted stock units are scheduled to vest on each of August 15, 2012, February 15, 2013, August 15, 2013, February 15, 2014, August 15, 2014 and February 15, 2015. Twenty-five percent of the Shares subject to the Option are scheduled to vest twelve months after the Vesting Commencement Date, and one forty eighth of the Shares subject to the Option are scheduled to vest monthly thereafter. /s/ Laura Donovan By Attorney-in-Fact: Laura Donovan 2011-03-08 -----END PRIVACY-ENHANCED MESSAGE-----