0001209191-18-010287.txt : 20180215
0001209191-18-010287.hdr.sgml : 20180215
20180215140849
ACCESSION NUMBER: 0001209191-18-010287
CONFORMED SUBMISSION TYPE: 3
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20180206
FILED AS OF DATE: 20180215
DATE AS OF CHANGE: 20180215
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: Warren Timothy
CENTRAL INDEX KEY: 0001731241
FILING VALUES:
FORM TYPE: 3
SEC ACT: 1934 Act
SEC FILE NUMBER: 000-25826
FILM NUMBER: 18617188
MAIL ADDRESS:
STREET 1: 4300 NORTH FIRST STREET
CITY: SAN JOSE
STATE: CA
ZIP: 95134
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
3
1
doc3.xml
FORM 3 SUBMISSION
X0206
3
2018-02-06
0
0000851310
HARMONIC INC
HLIT
0001731241
Warren Timothy
4300 NORTH FIRST STREET
SAN JOSE
CA
95134
0
1
0
0
SVP, Video Products
Common Stock
239581
D
Stock Option/Right to Buy
6.67
2014-12-13
2020-12-13
Common Stock
25000
D
Stock Option/Right to Buy
6.49
2015-02-15
2021-03-14
Common Stock
30000
D
Stock Option/Right to Buy
7.58
2016-02-15
2022-03-13
Common Stock
12000
D
Restricted Stock Units
0.00
2016-02-15
2018-02-15
Common Stock
2400
D
Stock Option/Right to Buy
3.23
2017-02-15
2023-03-24
Common Stock
45000
D
Restricted Stock Units
0.00
2017-02-15
2018-02-15
Common Stock
2250
D
Restricted Stock Units
0.00
2017-08-01
2018-08-01
Common Stock
6250
D
Restricted Stock Units
0.00
2018-02-15
2019-02-15
Common Stock
50000
D
Fifty percent of the Shares subject to the Option vested twelve months after the Vesting Commencement Date, and one twenty fourth of the Shares subject to the Option vested monthly thereafter.
Twenty-five percent of the Shares subject to the Option vested twelve months after the Vesting Commencement Date, and one forty eighth of the Shares subject to the Option vests monthly thereafter.
Forty percent of the shares subject to the restricted stock units vested on February 15, 2016, and fifteen percent of the restricted stock units are scheduled to vest semi-annually thereafter so as to be 100% vested on February 15, 2018.
Thirty three percent of the Shares subject to the Option vested 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 units vested 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.
Fifty percent of the shares subject to the restricted stock units vested on August 1, 2017, and twenty five percent of the restricted stock units are scheduled to vest quarterly thereafter so as to be 100% vested on August 1, 2018.
Fifty percent of the Shares subject to the Restricted Stock Units are scheduled to vest on February 15, 2018, and twenty five percent of the remaining Restricted Stock Units will vest each three months thereafter.
/s/ Laura Donovan
By Attorney-in-Fact: Laura Donovan
2018-02-15