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