0001209191-16-109002.txt : 20160316 0001209191-16-109002.hdr.sgml : 20160316 20160316212737 ACCESSION NUMBER: 0001209191-16-109002 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: Spriester Bart CENTRAL INDEX KEY: 0001633975 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 000-25826 FILM NUMBER: 161511100 MAIL ADDRESS: STREET 1: 4300 NORTH FIRST STREET CITY: SAN JOSE STATE: CA ZIP: 95134 4 1 doc4.xml FORM 4 SUBMISSION X0306 4 2016-03-14 0 0000851310 HARMONIC INC HLIT 0001633975 Spriester Bart 4300 NORTH FIRST STREET SAN JOSE CA 95134 0 1 0 0 SVP, Video Products Restricted Stock Units 0.00 2016-03-14 4 A 0 36222 0.00 A 2017-02-15 2018-02-15 Common Stock 36222 36222 D Stock Option/Right to Buy 3.14 2016-03-14 4 A 0 80000 3.14 A 2017-02-15 2023-02-15 Common Stock 80000 80000 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