0001209191-12-014695.txt : 20120301 0001209191-12-014695.hdr.sgml : 20120301 20120301190906 ACCESSION NUMBER: 0001209191-12-014695 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20120228 FILED AS OF DATE: 20120301 DATE AS OF CHANGE: 20120301 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 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Carrington Mark CENTRAL INDEX KEY: 0001512682 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 000-25826 FILM NUMBER: 12659630 MAIL ADDRESS: STREET 1: 4300 NORTH FIRST STREET CITY: SAN JOSE STATE: CA ZIP: 95134 4 1 doc4.xml FORM 4 SUBMISSION X0304 4 2012-02-28 0 0000851310 HARMONIC INC HLIT 0001512682 Carrington Mark 4300 NORTH FIRST ST. SAN JOSE CA 95134 0 1 0 0 Sr. VP of Worldwide Sales Restricted Stock Units 0.00 2012-02-28 4 A 0 45000 0.00 A 2013-02-15 2016-02-15 Common Stock 45000 45000 D Right to buy 6.14 2012-02-28 4 A 0 80000 0.00 A 2013-02-15 2019-02-28 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, 2013, and twelve and one half percent of the restricted stock units are scheduled to vest on each of August 15, 2013, February 15, 2014, August 15, 2014, February 15, 2015, August 15, 2015 and February 15, 2016. 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 2012-03-01