0001209191-17-039068.txt : 20170612 0001209191-17-039068.hdr.sgml : 20170612 20170612134918 ACCESSION NUMBER: 0001209191-17-039068 CONFORMED SUBMISSION TYPE: 3 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20170606 FILED AS OF DATE: 20170612 DATE AS OF CHANGE: 20170612 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: Kalra Sanjay CENTRAL INDEX KEY: 0001504670 FILING VALUES: FORM TYPE: 3 SEC ACT: 1934 Act SEC FILE NUMBER: 000-25826 FILM NUMBER: 17905790 MAIL ADDRESS: STREET 1: HARMONIC INC. STREET 2: 4300 NORTH FIRST STREET CITY: SAN JOSE STATE: CA ZIP: 95134 3 1 doc3.xml FORM 3 SUBMISSION X0206 3 2017-06-06 0 0000851310 HARMONIC INC HLIT 0001504670 Kalra Sanjay 4300 NORTH FIRST STREET SAN JOSE CA 95134 0 1 0 0 Chief Financial Officer Common Stock 0 D Restricted Stock Units 0.00 2017-11-01 2019-11-01 Common Stock 30000 D Stock Options/Right to buy 4.65 2017-11-01 2023-11-21 Common Stock 30000 D Restricted Stock Units 0.00 2018-02-15 2019-02-15 Common Stock 11000 D Thirty three percent of the Shares subject to the Restricted Stock Unit (RSU) Grant are scheduled to vest twelve months after the Vesting Commencement Date, and equal increments of the Shares subject to the RSU are scheduled to vest each six months thereafter, until fully vested on the third anniversary of the Vesting Commencement Date. Thirty three percent of the Shares subject to the Option are scheduled to vest twelve months after the Vesting Commencement Date, and one thirty sixth of the Shares subject to the Option are scheduled to vest monthly thereafter. Fifty percent of the Shares subject to the Restricted Stock Unit (RSU) Grant are scheduled to vest twelve months after the Vesting Commencement Date, and equal increments of the Shares subject to the RSU are scheduled to vest quarterly thereafter, until fully vested on the second anniversary of the Vesting Commencement Date. /s/ Laura Donovan By Attorney-in-Fact Laura Donovan 2017-06-12