0001209191-19-060466.txt : 20191213 0001209191-19-060466.hdr.sgml : 20191213 20191213171555 ACCESSION NUMBER: 0001209191-19-060466 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20191212 FILED AS OF DATE: 20191213 DATE AS OF CHANGE: 20191213 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: 191285294 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 2019-12-12 0 0000851310 HARMONIC INC HLIT 0001380567 Haltmayer Neven 4300 NORTH FIRST STREET SAN JOSE CA 95134 0 1 0 0 SVP, Video R&D Common Stock 2019-12-12 4 M 0 5698 3.14 A 178706 D Common Stock 2019-12-12 4 S 0 5698 8.32 D 173008 D Common Stock 2019-12-12 4 M 0 24302 3.14 A 197310 D Common Stock 2019-12-12 4 S 0 24302 8.2382 D 173008 D Stock Option/Right to Buy 3.14 2019-12-12 4 M 0 5698 3.14 D 2015-02-15 2023-03-14 Common Stock 5698 74302 D Stock Option/Right to Buy 3.14 2019-12-12 4 M 0 24302 3.14 D 2015-02-15 2023-03-14 Common Stock 24302 50000 D These shares of common stock were acquired upon the exercise of stock options on 12/12/2019. These options 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. /s/ Laura Donovan By Attorney-in-Fact Laura Donovan 2019-12-13