0001209191-16-097991.txt : 20160212 0001209191-16-097991.hdr.sgml : 20160212 20160212153952 ACCESSION NUMBER: 0001209191-16-097991 CONFORMED SUBMISSION TYPE: 3 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20160202 FILED AS OF DATE: 20160212 DATE AS OF CHANGE: 20160212 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: Haltmayer Neven CENTRAL INDEX KEY: 0001380567 FILING VALUES: FORM TYPE: 3 SEC ACT: 1934 Act SEC FILE NUMBER: 000-25826 FILM NUMBER: 161418505 MAIL ADDRESS: STREET 1: 549 BALTIC WAY CITY: SUNNYVALE STATE: CA ZIP: 94089 3 1 doc3.xml FORM 3 SUBMISSION X0206 3 2016-02-02 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 Holding 39935 D Stock Option/Right to buy 9.69 2012-02-15 2018-03-04 Common Stock 65000 D Stock Option/Right to buy 6.14 2013-02-15 2019-02-28 Common Stock 80000 D Restricted Stock Units 0.00 2013-02-15 2016-02-15 Common Stock 5625 D Stock Option/Right to buy 5.78 2014-02-15 2020-03-15 Common Stock 120000 D Stock Option/Right to buy 6.49 2015-02-15 2021-03-14 Common Stock 100000 D Restricted Stock Units 0.00 2015-02-15 2016-02-15 Common Stock 6250 D Stock Option/Right to buy 7.58 2016-02-15 2022-03-13 Common Stock 80000 D Restricted Stock Units 0.00 2016-02-15 2018-02-15 Common Stock 27333 D Twenty-five percent of the Shares subject to the Option vested twelve months after the Vesting Commencement Date, and one forty eighth of the Shares subject to the Option vested monthly thereafter. Twenty-five percent of the Shares subject to the Option vested twelve months after the Vesting Commencement Date, and one forty eighth of the Shares subject to the Option vests monthly thereafter. Each restricted stock unit represents a contingent right to receive one share of HLIT common stock. The shares subject to the restricted stock units are scheduled to vest in full on February 15, 2016. Twenty-five percent of the Shares subject to the Option will vest twelve months after the Vesting Commencement Date, and one forty eighth of the Shares subject to the Option vests monthly thereafter. 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. /s/ Laura Donovan By Attorney-in-Fact: Laura Donovan 2016-02-12