0001209191-12-042431.txt : 20120817 0001209191-12-042431.hdr.sgml : 20120817 20120817152526 ACCESSION NUMBER: 0001209191-12-042431 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20120815 FILED AS OF DATE: 20120817 DATE AS OF CHANGE: 20120817 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: HARSHMAN PATRICK CENTRAL INDEX KEY: 0001216448 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 000-25826 FILM NUMBER: 121042529 MAIL ADDRESS: STREET 1: HARMONIC INC STREET 2: 549 BALTIC WAY CITY: SUNNYVALE STATE: CA ZIP: 94089 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 X0306 4 2012-08-15 0 0000851310 HARMONIC INC HLIT 0001216448 HARSHMAN PATRICK 4300 NORTH FIRST STREET SAN JOSE CA 95134 1 1 0 0 President and CEO Common Stock 2012-08-15 4 A 0 13125 0.00 A 177181 D Common Stock 2012-08-15 4 F 0 4814 4.42 D 172367 D Common Stock 2012-08-15 4 A 0 13125 0.00 A 185492 D Common Stock 2012-08-15 4 F 0 4814 4.42 D 180678 D Common Stock 2012-08-15 4 A 0 10000 0.00 A 190678 D Common Stock 2012-08-15 4 F 0 3668 4.42 D 187010 D Restricted Stock Units 0.00 2012-08-15 4 M 0 13125 0.00 D 2010-02-15 2013-02-15 Common Stock 13125 13125 D Restricted Stock Units 0.00 2012-08-15 4 M 0 13125 0.00 D 2011-02-15 2014-02-15 Common Stock 13125 39375 D Restricted Stock Units 0.00 2012-08-15 4 M 0 10000 0.00 D 2012-02-15 2015-02-15 Common Stock 10000 50000 D These shares of common stock were acquired upon the vesting of restricted stock units on 8/15/2012. These restricted stock units were initially granted to Mr. Harshman on 2/24/2009, and were identified on a Form 4 filed by Mr. Harshman on 2/26/2009. Shares of Harmonic Inc. common stock withheld by Harmonic Inc. to satisfy tax withholding obligation upon vesting of restricted stock units. These shares of common stock were acquired upon the vesting of restricted stock units on 8/15/2012. These restricted stock units were initially granted to Mr. Harshman on 2/19/2010, and were identified on a Form 4 filed by Mr. Harshman on 2/23/2010. These shares of common stock were acquired upon the vesting of restricted stock units on 8/15/2012. These restricted stock units were initially granted to Mr. Harshman on 3/4/2011, and were identified on a Form 4 filed by Mr. Harshman on 3/8/2011. Beginning with the Form 4 filed by the Reporting Person on 2/26/2009, the restricted stock units granted on 2/24/2009 appeared on Table I. Footnotes in subsequent reports indicated that shares appearing on Table I included the unvested restricted stock units from the 2/24/2009 grant. Through administrative error, actual beneficial ownership from the 2009 grant has been historically overstated by 78,300 shares, and this is corrected herewith. /s/ Laura Donovan By Attorney-in-Fact: Laura Donovan 2012-08-17