0001209191-17-003443.txt : 20170111 0001209191-17-003443.hdr.sgml : 20170111 20170111184233 ACCESSION NUMBER: 0001209191-17-003443 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20170111 FILED AS OF DATE: 20170111 DATE AS OF CHANGE: 20170111 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: LOOKABAUGH TOM CENTRAL INDEX KEY: 0001466829 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 000-25826 FILM NUMBER: 17523734 MAIL ADDRESS: STREET 1: 6290 SEQUENCE DRIVE CITY: SAN DIEGO STATE: CA ZIP: 92121 4 1 doc4.xml FORM 4 SUBMISSION X0306 4 2017-01-11 0 0000851310 HARMONIC INC HLIT 0001466829 LOOKABAUGH TOM 4300 NORTH FIRST STREET SAN JOSE CA 95134 1 0 0 0 Restricted Stock Units 0.00 2017-01-11 4 A 0 23529 0.00 A 2018-01-11 2018-01-11 Common Stock 23529 15831 D Stock Option/Right to buy 5.10 2017-01-11 4 A 0 30000 5.10 A 2017-02-11 2020-01-11 Common Stock 30000 30000 D Each restricted stock unit represents a contingent right to receive one share of Harmonic common stock. The shares subject to these restricted stock units are scheduled to vest in full in one installment on January 11, 2018. Vested shares will be delivered to the reporting person on or immediately following January 11, 2018. The Option becomes exercisable as to 1/36th of the Shares subject to the Option at the end of each month following the Vesting Commencement Date. /s/ Laura Donovan By Attorney-in-Fact: Laura Donovan 2017-01-11