0001209191-13-010303.txt : 20130220 0001209191-13-010303.hdr.sgml : 20130220 20130220181113 ACCESSION NUMBER: 0001209191-13-010303 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20130215 FILED AS OF DATE: 20130220 DATE AS OF CHANGE: 20130220 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: 13628183 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 2013-02-15 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 2013-02-15 4 M 0 13125 0.00 A 200135 D Common Stock 2013-02-15 4 F 0 5451 5.68 D 194684 D Common Stock 2013-02-15 4 M 0 13125 0.00 A 207809 D Common Stock 2013-02-15 4 F 0 4844 5.68 D 202965 D Common Stock 2013-02-15 4 M 0 10000 0.00 A 212965 D Common Stock 2013-02-15 4 F 0 3758 5.68 D 209207 D Common Stock 2013-02-15 4 M 0 27500 0.00 A 236707 D Common Stock 2013-02-15 4 F 0 10334 5.68 D 226373 D Restricted Stock Units 0.00 2013-02-15 4 M 0 13125 0.00 D 2010-02-15 2013-02-15 Common Stock 13125 0 D Restricted Stock Units 0.00 2013-02-15 4 M 0 13125 0.00 D 2011-02-15 2014-02-15 Common Stock 13125 26250 D Restricted Stock Units 0.00 2013-02-15 4 M 0 10000 0.00 D 2012-02-15 2015-02-15 Common Stock 10000 40000 D Restricted Stock Units 0.00 2013-02-15 4 M 0 27500 0.00 D 2013-02-15 2016-02-15 Common Stock 27500 82500 D These shares of common stock were acquired upon the vesting of restricted stock units on 2/15/2013. These restricted stock units were initially granted to the Reporting Person on 2/24/2009, and were identified on a Form 4 filed by the Reporting Person 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 2/15/2013. These restricted stock units were initially granted to the Reporting Person on 2/19/2010, and were identified on a Form 4 filed by the Reporting Person on 2/19/2010. These shares of common stock were acquired upon the vesting of restricted stock units on 2/15/2013. These restricted stock units were initially granted to the Reporting Person on 3/4/2011, and were identified on a Form 4 filed by the Reporting Person on 3/8/2011. These shares of common stock were acquired upon the vesting of restricted stock units on 2/15/2013. These restricted stock units were initially granted to the Reporting Person on 2/28/2012, and were identified on a Form 4 filed by the Reporting Person on 3/1/2012. /s/ Laura Donovan By: Attorney-in-Fact Laura Donovan 2013-02-20