0001209191-17-022411.txt : 20170322 0001209191-17-022411.hdr.sgml : 20170322 20170322181312 ACCESSION NUMBER: 0001209191-17-022411 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20170320 FILED AS OF DATE: 20170322 DATE AS OF CHANGE: 20170322 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: Haltmayer Neven CENTRAL INDEX KEY: 0001380567 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 000-25826 FILM NUMBER: 17707749 MAIL ADDRESS: STREET 1: 549 BALTIC WAY CITY: SUNNYVALE STATE: CA ZIP: 94089 4 1 doc4.xml FORM 4 SUBMISSION X0306 4 2017-03-20 0 0000851310 HARMONIC INC HLIT 0001380567 Haltmayer Neven 4300 NORTH FIRST STREET SAN JOSE CA 95134 0 1 0 0 Sr. Vice President, R&D Restricted Stock Units 0.00 2017-03-20 4 A 0 59500 0.00 A 2018-02-15 2020-02-15 Common Stock 59500 59500 D Performance Restricted Stock Units 0.00 2017-03-20 4 A 0 25500 0.00 A 2017-03-20 2020-03-15 Common Stock 25500 25500 D Each restricted stock unit represents a contingent right to receive one share of HLIT common stock. One-third of the RSUs vest on February 15, 2018 and the remaining RSUs vest in eight equal quarterly installments thereafter. Each performance restricted stock unit, or PRSU, represents a contingent right to receive one share of HLIT common stock. If the closing price of HLIT's common stock, as quoted on the NASDAQ Stock Market, equals or exceeds certain stock price thresholds for at least 20 consecutive trading days (the "Minimum Trading Period"), then 25% of the PRSUs will vest on the final day of the Minimum Trading Period. If the stock price threshold for which the Minimum Trading Period has been satisfied exceeds one or more other stock price thresholds for which the PRSU award has not already vested, then the vesting associated with all such stock price thresholds shall occur as of the close of market on the final day of the Minimum Trading Period. /s/ Laura Donovan By Attorney-in-Fact: Laura Donovan 2017-03-22