0001209191-12-042434.txt : 20120817 0001209191-12-042434.hdr.sgml : 20120817 20120817153745 ACCESSION NUMBER: 0001209191-12-042434 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20120815 FILED AS OF DATE: 20120817 DATE AS OF CHANGE: 20120817 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: 121042613 MAIL ADDRESS: STREET 1: 4300 NORTH FIRST STREET CITY: SAN JOSE STATE: CA ZIP: 95134 4 1 doc4.xml FORM 4 SUBMISSION X0306 4 2012-08-15 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 Common Stock 2012-08-15 4 A 0 3600 0.00 A 26458 D Common Stock 2012-08-15 4 F 0 1320 4.42 D 25138 D Common Stock 2012-08-15 4 A 0 1750 0.00 A 26888 D Common Stock 2012-08-15 4 F 0 641 4.42 D 26247 D Common Stock 2012-08-15 4 A 0 3750 0.00 A 29997 D Common Stock 2012-08-15 4 F 0 1375 4.42 D 28981 D Restricted Stock Units 0.00 2012-08-15 4 M 0 3600 0.00 D 2011-02-15 2014-02-15 Common Stock 3600 10800 D Restricted Stock Units 0.00 2012-08-15 4 M 0 1750 0.00 D 2011-02-15 2014-02-15 Common Stock 1750 5250 D Restricted Stock Units 0.00 2012-08-15 4 M 0 3750 0.00 D 2012-02-15 2015-02-15 Common Stock 3750 18750 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. Carrington on 1/4/2010, and were identified on a Form 3 filed by Mr. Carrington on 2/14/2011. 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. Carrington on 2/19/2010, and were identified on a Form 3 filed by Mr. Carrington on 2/14/2011. 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. Carrington on 3/4/2011, and were identified on a Form 4 filed by Mr. Carrington on 3/8/2011. Includes 359 shares of common stock acquired in the company's Section 16-b exempt employee stock purchase plan on 7/2/2012. /s/ Laura Donovan By Attorney-in-Fact: Laura Donovan 2012-08-17