0001209191-13-041467.txt : 20130819 0001209191-13-041467.hdr.sgml : 20130819 20130819184631 ACCESSION NUMBER: 0001209191-13-041467 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20130815 FILED AS OF DATE: 20130819 DATE AS OF CHANGE: 20130819 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: AVER CAROLYN V CENTRAL INDEX KEY: 0001227773 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 000-25826 FILM NUMBER: 131049331 MAIL ADDRESS: STREET 1: 6373 SAN IGNACIO AVENUE CITY: SAN JOSE STATE: CA ZIP: 95119 4 1 doc4.xml FORM 4 SUBMISSION X0306 4 2013-08-15 0 0000851310 HARMONIC INC HLIT 0001227773 AVER CAROLYN V 4300 NORTH FIRST STREET SAN JOSE CA 95134 0 1 0 0 Chief Financial Officer Common Stock 2013-08-15 4 M 0 5000 0.00 A 77292 D Common Stock 2013-08-15 4 F 0 1879 7.60 D 75413 D Common Stock 2013-08-15 4 M 0 6875 0.00 A 82288 D Common Stock 2013-08-15 4 F 0 2583 7.60 D 79705 D Restricted Stock Units 0.00 2013-08-15 4 M 0 5000 0.00 D 2012-02-15 2015-02-15 Common Stock 5000 15000 D Restricted Stock Units 0.00 2013-08-15 4 M 0 6875 0.00 D 2013-02-15 2016-02-15 Common Stock 13750 34375 D These shares of common stock were acquired upon the vesting of restricted stock units on 8/15/2013. 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. 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 8/15/2013. 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 2013-08-19