0001209191-15-078015.txt : 20151103 0001209191-15-078015.hdr.sgml : 20151103 20151103153847 ACCESSION NUMBER: 0001209191-15-078015 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20151102 FILED AS OF DATE: 20151103 DATE AS OF CHANGE: 20151103 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: COVERT HAROLD L CENTRAL INDEX KEY: 0001229072 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 000-25826 FILM NUMBER: 151193574 4 1 doc4.xml FORM 4 SUBMISSION X0306 4 2015-11-02 0 0000851310 HARMONIC INC HLIT 0001229072 COVERT HAROLD L 4300 NORTH FIRST STREET SAN JOSE CA 95134 0 1 0 0 Chief Financial Officer Restricted Stock Units 0.00 2015-11-02 4 A 0 110000 0.00 A 2016-10-27 2018-10-27 Common Stock 110000 110000 D Stock Option 5.80 2015-11-02 4 A 0 220000 5.80 A 2016-10-27 2022-11-02 Common Stock 220000 220000 D Each restricted stock unit represents a contingent right to receive one share of HLIT common stock. One third (33.33%) of the Shares subject to the Restricted Stock Units are scheduled to vest twelve months after the Vesting Commencement Date of October 27, 2015; approximately 16.66% of the remaining Restricted Stock Units will vest each six months thereafter. Stock Option/Right to Buy One third (33.33%) of the Shares subject to the Options are scheduled to vest twelve months after the Vesting Commencement Date of October 27, 2015; the remaining balance of the options will vest over the next two year period with vesting occurring in equal monthly installments. /s/ Laura Donovan By Attorney-in-Fact Laura Donovan 2015-11-03