0001209191-18-011519.txt : 20180220
0001209191-18-011519.hdr.sgml : 20180220
20180220182032
ACCESSION NUMBER: 0001209191-18-011519
CONFORMED SUBMISSION TYPE: 4
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20180215
FILED AS OF DATE: 20180220
DATE AS OF CHANGE: 20180220
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: 18626299
MAIL ADDRESS:
STREET 1: 549 BALTIC WAY
CITY: SUNNYVALE
STATE: CA
ZIP: 94089
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
4
1
doc4.xml
FORM 4 SUBMISSION
X0306
4
2018-02-15
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
Common Stock
2018-02-15
4
M
0
4099
0.00
A
73349
D
Common Stock
2018-02-15
4
S
0
1759
3.0538
D
71590
D
Common Stock
2018-02-15
4
M
0
3417
0.00
A
75007
D
Common Stock
2018-02-15
4
S
0
1467
3.0538
D
73540
D
Common Stock
2018-02-15
4
M
0
19833
0.00
A
93373
D
Common Stock
2018-02-15
4
S
0
8484
3.054
D
84889
D
Restricted Stock Unit
0.00
2018-02-15
4
M
0
4099
0.00
D
2016-02-15
2018-02-15
Common Stock
4099
0
D
Restricted Stock Unit
0.00
2018-02-15
4
M
0
3417
0.00
D
2017-02-15
2018-02-15
Common Stock
3417
0
D
Restricted Stock Unit
0.00
2018-02-15
4
M
0
19833
0.00
D
2018-02-15
2020-02-15
Common Stock
19833
39667
D
These shares of common stock were acquired upon the vesting of restricted stock units on 2/15/2018. These restricted stock units were initially granted to the Reporting Person on 3/13/2015, and were identified on a Form 4 filed by the Reporting Person on 3/17/2015.
Represents the number of shares automatically sold to cover tax withholding obligations in connection with the vesting of restricted stock units. This sale is mandated by the Issuer's election under its 1995 Stock Plan to enable the satisfaction of tax withholding obligations with funding from a "sell to cover" transaction and does not represent a discretionary trade by the Reporting Person.
These shares of common stock were acquired upon the vesting of restricted stock units on 2/15/2018. These restricted stock units 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.
These shares of common stock were acquired upon the vesting of restricted stock units on 2/15/2018. These restricted stock units were initially granted to the Reporting Person on 3/20/2017, and were identified on a Form 4 filed by the Reporting Person on 3/22/2017.
/s/ Laura Donovan
By Attorney-in-Fact: Laura Donovan
2018-02-20