0001209191-16-108998.txt : 20160316 0001209191-16-108998.hdr.sgml : 20160316 20160316211626 ACCESSION NUMBER: 0001209191-16-108998 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20160314 FILED AS OF DATE: 20160316 DATE AS OF CHANGE: 20160316 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: 161511092 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 2016-03-14 0 0000851310 HARMONIC INC HLIT 0001216448 HARSHMAN PATRICK 4300 NORTH FIRST STREET SAN JOSE CA 95134 1 1 0 0 President and CEO Restricted Stock Units 0.00 2016-03-14 4 A 0 94188 0.00 A 2017-02-15 2018-02-15 Common Stock 94188 94188 D Stock Option/Right to Buy 3.14 2016-03-14 4 A 0 266667 3.14 A 2017-02-15 2023-02-15 Common Stock 266667 266667 D Each restricted stock unit represents a contingent right to receive one share of HLIT common stock. Fifty percent of the shares subject to the restricted stock units are scheduled to vest on February 15, 2017, and twenty five percent of the restricted stock units are scheduled to vest quarterly thereafter so as to be 100% vested on February 15, 2018. One third (33.33%) of the Shares subject to the Options are scheduled to vest twelve months after the Vesting Commencement Date of February 15, 2016; 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 2016-03-16