0001209191-15-027271.txt : 20150317 0001209191-15-027271.hdr.sgml : 20150317 20150317192910 ACCESSION NUMBER: 0001209191-15-027271 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20150313 FILED AS OF DATE: 20150317 DATE AS OF CHANGE: 20150317 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: 4300 NORTH FIRST STREET CITY: SAN JOSE STATE: CA ZIP: 95134 BUSINESS PHONE: 4084906242 MAIL ADDRESS: STREET 1: 4300 NORTH FIRST STREET CITY: SAN JOSE STATE: CA ZIP: 95134 FORMER COMPANY: FORMER CONFORMED NAME: HARMONIC LIGHTWAVES INC DATE OF NAME CHANGE: 19950404 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: 15708407 MAIL ADDRESS: STREET 1: HARMONIC INC STREET 2: 549 BALTIC WAY CITY: SUNNYVALE STATE: CA ZIP: 94089 4 1 doc4.xml FORM 4 SUBMISSION X0306 4 2015-03-13 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 2015-03-13 4 M 0 7000 5.86 A 403504 D Common Stock 2015-03-13 4 M 0 41674 5.86 A 445175 D Common Stock 2015-03-13 4 S 0 35724 7.5761 D 409451 D Restricted Stock Units 0.00 2015-03-13 4 A 0 60000 0.00 A 2016-02-15 2018-02-15 Common Stock 60000 60000 D Stock Option/Right to buy 7.58 2015-03-13 4 A 0 266667 7.58 A 2016-02-15 2022-03-13 Common Stock 266667 266667 D Restricted Stock Units 0.00 2015-03-13 4 A 0 60000 0.00 A 2016-02-15 2016-02-15 Common Stock 60000 60000 D Stock Option/Right to buy 5.86 2015-03-13 4 M 0 48674 5.86 D 2006-05-03 2015-05-03 Common Stock 48674 0 D Each restricted stock unit represents a contingent right to receive one share of Harmonic common stock. Forty percent of the shares subject to the restricted stock units are scheduled to vest on February 15, 2016, and fifteen percent of the restricted stock units are scheduled to vest semi-annually thereafter so as to be 100% vested on February 15, 2018. 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. The RSUs will vest between 50% and 100% of the total grant based on performance against the Company's fiscal year 2015 revenue targets, as determined by the Compensation Committee of the Company on or before 2/15/2016. These shares of common stock were acquired upon the exercise of stock options on 3/13/2015 that were scheduled to expire on 5/03/2015. These options were initially granted to the Reporting Person on 5/3/2005, and were identified on a Form 4 filed by the Reporting Person on 5/4/2005. /s/ Laura Donovan By Attorney-in-Fact: Laura Donovan 2015-03-17