0001209191-21-010965.txt : 20210216 0001209191-21-010965.hdr.sgml : 20210216 20210216183429 ACCESSION NUMBER: 0001209191-21-010965 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20210211 FILED AS OF DATE: 20210216 DATE AS OF CHANGE: 20210216 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: HARSHMAN PATRICK CENTRAL INDEX KEY: 0001216448 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 000-25826 FILM NUMBER: 21641706 MAIL ADDRESS: STREET 1: HARMONIC INC STREET 2: 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 2021-02-11 0 0000851310 HARMONIC INC HLIT 0001216448 HARSHMAN PATRICK 2590 ORCHARD PARKWAY SAN JOSE CA 95131 1 1 0 0 President and CEO Common Stock 2021-02-11 4 M 0 89445 6.49 A 1111641 D Common Stock 2021-02-11 4 S 0 83167 7.8133 D 1028474 D Common Stock 2021-02-12 4 M 0 13527 6.49 A 1042001 D Common Stock 2021-02-12 4 S 0 12587 7.70 D 1029414 D Common Stock 2021-02-15 4 M 0 16667 0.00 A 1046081 D Common Stock 2021-02-15 4 F 0 8748 7.605 D 1037333 D Common Stock 2021-02-15 4 M 0 16667 0.00 A 1054000 D Common Stock 2021-02-15 4 F 0 8775 7.605 D 1045225 D Common Stock 2021-02-15 4 M 0 60944 0.00 A 1106169 D Common Stock 2021-02-15 4 F 0 32087 7.605 D 1074082 D Stock Option/Right to buy 6.49 2021-02-11 4 M 0 89445 6.49 D 2015-02-15 2021-03-14 Common Stock 89445 235555 D Stock Option/Right to buy 6.49 2021-02-12 4 M 0 13527 6.49 D 2015-02-15 2021-03-14 Common Stock 13527 222028 D Restricted Stock Units 0.00 2021-02-15 4 M 0 16667 0.00 D 2019-02-15 2021-02-15 Common Stock 16667 0 D Restricted Stock Units 0.00 2021-02-15 4 M 0 16667 0.00 D 2020-02-15 2022-02-15 Common Stock 16667 66666 D Restricted Stock Units 0.00 2021-02-15 4 M 0 60944 0.00 D 2021-02-15 2023-02-15 Common Stock 60944 121886 D Shares sold to cover exercise price and taxes in connection with exercise of stock option expiring on March 14, 2021. These shares of common stock were acquired upon the vesting of restricted stock units on 2/15/2021. These restricted stock units were initially granted to the Reporting Person on 3/20/2018, and were identified on a Form 4 filed by the Reporting Person on 3/22/2018. Shares of Harmonic Inc. common stock withheld by Harmonic Inc. to satisfy tax withholding obligation upon vesting of restricted stock units. These shares of common stock were acquired upon the vesting of restricted stock units on 2/15/2021. These restricted stock units were initially granted to the Reporting Person on 4/15/2019, and were identified on a Form 4 filed by the Reporting Person on 4/17/2019. These shares of common stock were acquired upon the vesting of restricted stock units on 2/15/2021. These restricted stock units were initially granted to the Reporting Person on 2/24/2020, and were identified on a Form 4 filed by the Reporting Person on 2/26/2020. /s/ Laura Donovan By Attorney-in-Fact Laura Donovan 2021-02-16