0001209191-13-017513.txt : 20130319 0001209191-13-017513.hdr.sgml : 20130319 20130319172805 ACCESSION NUMBER: 0001209191-13-017513 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20130315 FILED AS OF DATE: 20130319 DATE AS OF CHANGE: 20130319 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: 13702796 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 2013-03-15 0 0000851310 HARMONIC INC HLIT 0001216448 HARSHMAN PATRICK 4300 NORTH FIRST STREET SAN JOSE CA 95134 1 1 0 0 President and CEO Restricted Stock Units 0.00 2013-03-15 4 A 0 55000 0.00 A 2014-02-15 2015-02-15 Common Stock 55000 55000 D Right to buy 5.78 2013-03-15 4 A 0 330000 5.78 A 2014-02-15 2017-02-15 Common Stock 330000 330000 D Each restricted stock unit represents a contingent right to receive one share of Harmonic common stock. Fifty percent of the shares subject to the restricted stock units are scheduled to vest on February 15, 2014, and twenty five percent of the restricted stock units are scheduled to vest semi-annually thereafter so as to be 100% vested on 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 2013-03-19