0001209191-16-099454.txt : 20160217 0001209191-16-099454.hdr.sgml : 20160217 20160217180540 ACCESSION NUMBER: 0001209191-16-099454 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20160215 FILED AS OF DATE: 20160217 DATE AS OF CHANGE: 20160217 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: 161435389 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 2016-02-15 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 2016-02-15 4 M 0 13750 0.00 A 459977 D Common Stock 2016-02-15 4 F 0 5992 3.19 D 453985 D Common Stock 2016-02-15 4 M 0 13125 0.00 A 467110 D Common Stock 2016-02-15 4 F 0 5135 3.19 D 461975 D Common Stock 2016-02-15 4 M 0 24000 0.00 A 485975 D Common Stock 2016-02-15 4 F 0 8862 3.19 D 477113 D Restricted Stock Units 0.00 2016-02-15 4 M 0 13750 0.00 D 2013-02-15 2016-02-15 Common Stock 13750 0 D Restricted Stock Units 0.00 2016-02-15 4 M 0 13125 0.00 D 2014-02-15 2016-02-15 Common Stock 13125 0 D Restricted Stock Units 0.00 2016-02-15 4 M 0 24000 0.00 D 2016-02-15 2018-02-15 Common Stock 24000 36000 D Restricted Stock Units 0.00 2016-02-15 4 J 0 60000 0.00 D 2016-02-15 2016-02-15 Common Stock 0 0 D These shares of common stock were acquired upon the vesting of restricted stock units on 2/15/2016. 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. 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 2/15/2016. These restricted stock units were initially granted to the recipient on 3/14/2014, and were identified on a Form 4 filed 3/18/2014. These shares of common stock were acquired upon the vesting of restricted stock units on 2/15/2016. These restricted stock units were initially granted to the Reporting Person on 3/13/2015, and were identified on a Form 4 filed by the Reporting Person on 3/17/2015. Zero percent of the shares of common stock subject to performance based restricted stock units were released on 2/15/2016. These restricted stock units were initially granted to the Reporting Person on 3/13/2015, and were identified on a Form 4 filed by the Reporting Person on 3/17/2015. /s/ Laura Donovan By: Attorney-in-Fact Laura Donovan 2016-02-17