0001209191-13-017522.txt : 20130319 0001209191-13-017522.hdr.sgml : 20130319 20130319173311 ACCESSION NUMBER: 0001209191-13-017522 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20130315 FILED AS OF DATE: 20130319 DATE AS OF CHANGE: 20130319 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: Haltmayer Neven CENTRAL INDEX KEY: 0001380567 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 000-25826 FILM NUMBER: 13702841 MAIL ADDRESS: STREET 1: 549 BALTIC WAY CITY: SUNNYVALE STATE: CA ZIP: 94089 4 1 doc4.xml FORM 4 SUBMISSION X0306 4 2013-03-15 0 0000851310 HARMONIC INC HLIT 0001380567 Haltmayer Neven 4300 NORTH FIRST STREET SAN JOSE CA 95134 0 1 0 0 Sr. Vice President, R&D Restricted Stock Units 0.00 2013-03-15 4 A 0 22500 0.00 A 2014-02-15 2015-02-15 Common Stock 22500 22500 D Right to buy 5.78 2013-03-15 4 A 0 120000 5.78 A 2014-02-15 2017-02-15 Common Stock 120000 120000 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