0001209191-21-011398.txt : 20210217 0001209191-21-011398.hdr.sgml : 20210217 20210217173633 ACCESSION NUMBER: 0001209191-21-011398 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20210215 FILED AS OF DATE: 20210217 DATE AS OF CHANGE: 20210217 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Ben-Natan Nimrod CENTRAL INDEX KEY: 0001399157 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 000-25826 FILM NUMBER: 21646440 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 2021-02-15 0 0000851310 HARMONIC INC HLIT 0001399157 Ben-Natan Nimrod 2590 ORCHARD PARKWAY SAN JOSE CA 95131 0 1 0 0 SVP & GM, Cable Access Common Stock 2021-02-15 4 M 0 10000 0.00 A 398466 D Common Stock 2021-02-15 4 M 0 8334 0.00 A 406800 D Common Stock 2021-02-15 4 M 0 29600 0.00 A 436400 D Restricted Stock Units 0.00 2021-02-15 4 M 0 10000 0.00 D 2019-02-15 2021-02-15 Common Stock 10000 0 D Restricted Stock Units 0.00 2021-02-15 4 M 0 8334 0.00 D 2020-02-15 2022-02-15 Common Stock 8334 33333 D Restricted Stock Units 0.00 2021-02-15 4 M 0 29600 0.00 D 2021-02-15 2023-02-15 Common Stock 29600 59200 D Restricted Stock 0.00 2021-02-16 4 A 0 108557 0.00 A 2022-02-15 2024-02-15 Common Stock 108557 108557 D 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. 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. Each restricted stock unit represents a contingent right to receive one share of HLIT common stock. One third (33.33%) of the Shares subject to the Restricted Stock Units are scheduled to vest on February 15, 2022, and approximately 8.33% of the remaining Restricted Stock Units will vest each three months thereafter, so as to be 100% vested on the third anniversary of the RSU Vesting Commencement Date. /s/ Laura Donovan By Attorney-in-Fact Laura Donovan 2021-02-17