0001209191-21-065100.txt : 20211117 0001209191-21-065100.hdr.sgml : 20211117 20211117162440 ACCESSION NUMBER: 0001209191-21-065100 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20211115 FILED AS OF DATE: 20211117 DATE AS OF CHANGE: 20211117 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: 211420886 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 2021-11-15 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 2021-11-15 4 M 0 4583 0.00 A 93041 D Common Stock 2021-11-15 4 F 0 2501 10.77 D 90540 D Common Stock 2021-11-15 4 M 0 4092 0.00 A 94632 D Common Stock 2021-11-15 4 F 0 2233 10.77 D 92399 D Common Stock 2021-11-15 4 M 0 1666 0.00 A 94065 D Common Stock 2021-11-15 4 F 0 909 10.77 D 93156 D Restricted Stock Units 0.00 2021-11-15 4 M 0 4583 0.00 D 2020-02-15 2022-02-15 Common Stock 4583 4584 D Restricted Stock Units 0.00 2021-11-15 4 M 0 4092 0.00 D 2021-02-15 2023-02-15 Common Stock 4092 20459 D Restricted Stock Units 0.00 2021-11-15 4 M 0 1666 0.00 D 2021-08-15 2023-08-15 Common Stock 1666 11668 D These shares of common stock were acquired upon the vesting of restricted stock units on 11/15/2021. These restricted stock units were initially granted to the Reporting Person on 4/15/2019, 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 11/15/2021. 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. These shares of common stock were acquired upon the vesting of restricted stock units on 11/15/2021. These restricted stock units were initially granted to the Reporting Person on 8/19/2020, and were identified on a Form 4 filed by the Reporting Person on 8/21/2020. /s/ Laura Donovan By Attorney-in-Fact: Laura Donovan 2021-11-17