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