0001209191-17-018006.txt : 20170303 0001209191-17-018006.hdr.sgml : 20170303 20170303183935 ACCESSION NUMBER: 0001209191-17-018006 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20170301 FILED AS OF DATE: 20170303 DATE AS OF CHANGE: 20170303 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: COVERT HAROLD L CENTRAL INDEX KEY: 0001229072 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 000-25826 FILM NUMBER: 17665952 4 1 doc4.xml FORM 4 SUBMISSION X0306 4 2017-03-01 0 0000851310 HARMONIC INC HLIT 0001229072 COVERT HAROLD L 4300 NORTH FIRST STREET SAN JOSE CA 95134 0 1 0 0 Chief Financial Officer Common Stock 2017-03-01 4 M 0 19689 0.00 A 133979 D Common Stock 2017-03-01 4 F 0 7639 5.90 D 126340 D Common Stock 2017-03-02 4 M 0 10369 3.14 A 136709 D Common Stock 2017-03-02 4 S 0 10369 5.7167 D 126340 D Common Stock 2017-03-02 4 S 0 104631 5.7226 D 21709 D Common Stock 2017-03-03 4 S 0 10000 5.7215 D 11709 D Common Stock 2017-03-03 4 S 0 11709 5.6784 D 0 D Restricted Stock Unit 0.00 2017-03-01 2017-03-01 4 M 0 19689 0.00 D 2016-11-15 2017-03-01 Common Stock 19689 0 D Stock Option/Right to buy 3.14 2017-03-02 2017-03-02 4 M 0 10369 3.14 D 2016-02-15 2023-03-14 Common Stock 10369 20742 D These shares of common stock were acquired upon the vesting of performance-based restricted stock units on 3/1/2017. These performance-based restricted stock units were initially granted to the Reporting Person on 8/19/2016, and were identified on a Form 4 filed by the Reporting Person on 8/23/2016. 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 exercise of stock options on 3/2/2017. These options were initially granted to the Reporting Person on 3/14/2016, and were identified on a Form 4 filed by the Reporting Person on 3/16/2016. /s/ Laura Donovan By Attorney-in-Fact: Laura Donovan 2017-03-03