0001209191-21-011400.txt : 20210217 0001209191-21-011400.hdr.sgml : 20210217 20210217173949 ACCESSION NUMBER: 0001209191-21-011400 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: Graham Ian CENTRAL INDEX KEY: 0001820347 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 000-25826 FILM NUMBER: 21646461 MAIL ADDRESS: STREET 1: 2590 ORCHARD PARKWAY CITY: SAN JOSE STATE: CA ZIP: 95131 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 0001820347 Graham Ian 2590 ORCHARD PARKWAY SAN JOSE CA 95131 0 1 0 0 SVP, Global Sales & Video Svcs Common Stock 2021-02-15 4 M 0 4167 0.00 A 70309 D Common Stock 2021-02-15 4 F 0 2274 7.605 D 68035 D Common Stock 2021-02-15 4 M 0 4583 0.00 A 72618 D Common Stock 2021-02-15 4 F 0 2501 7.605 D 70117 D Common Stock 2021-02-15 4 M 0 16366 0.00 A 86483 D Common Stock 2021-02-15 4 F 0 8934 7.605 D 77549 D Restricted Stock Units 0.00 2021-02-15 4 M 0 4167 0.00 D 2019-02-15 2021-02-15 Common Stock 4167 0 D Restricted Stock Units 0.00 2021-02-15 4 M 0 4583 0.00 D 2020-02-15 2022-02-15 Common Stock 4583 18334 D Restricted Stock Units 0.00 2021-02-15 4 M 0 16366 0.00 D 2021-02-15 2023-02-15 Common Stock 16366 32734 D Restricted Stock 0.00 2021-02-16 4 A 0 83014 0.00 A 2022-02-15 2024-02-15 Common Stock 83014 83014 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 March 20, 2018, and were identified on a Form 3 filed by the Reporting Person on August 7, 2020. 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 June 22, 2019, and were identified on a Form 3 filed by the Reporting Person on August 7, 2020. 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 3 filed by the Reporting Person on August 7, 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