0001209191-22-011090.txt : 20220217 0001209191-22-011090.hdr.sgml : 20220217 20220217214827 ACCESSION NUMBER: 0001209191-22-011090 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20220215 FILED AS OF DATE: 20220217 DATE AS OF CHANGE: 20220217 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: 22650729 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 2022-02-15 0 0000851310 HARMONIC INC HLIT 0001216448 HARSHMAN PATRICK 2590 ORCHARD PARKWAY SAN JOSE CA 95131 1 1 0 0 President and CEO Common Stock 2022-02-15 4 M 0 16667 0.00 A 1054069 D Common Stock 2022-02-15 4 F 0 9140 9.43 D 1044929 D Common Stock 2022-02-15 4 M 0 15236 0.00 A 1060165 D Common Stock 2022-02-15 4 F 0 8021 9.43 D 1052144 D Common Stock 2022-02-15 4 M 0 66220 0.00 A 1118364 D Common Stock 2022-02-15 4 F 0 34864 9.43 D 1083500 D Common Stock 2022-02-15 4 M 0 300000 0.00 A 1383500 D Common Stock 2022-02-15 4 F 0 157950 9.43 D 1225550 D Restricted Stock Units 0.00 2022-02-15 4 M 0 16667 0.00 D 2020-02-15 2022-02-15 Common Stock 16667 0 D Restricted Stock Units 0.00 2022-02-15 4 M 0 15236 0.00 D 2021-02-15 2023-02-15 Common Stock 15236 60943 D Restricted Stock Units 0.00 2022-02-15 4 M 0 66220 0.00 D 2022-02-15 2024-02-15 Common Stock 66220 132439 D These shares of common stock were acquired upon the vesting of restricted stock units on 2/15/2022. 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. 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 2/15/2022. 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. These shares of common stock were acquired upon the vesting of restricted stock units on 2/15/2022. These restricted stock units were initially granted to the Reporting Person on 2/16/2021, and were identified on a Form 4 filed by the Reporting Person on 2/18/2021. These performance-based restricted stock units ("PRSUs") were granted on April 12, 2019, with vesting based on the total stockholder return ("TSR") to holders of Company common stock during a three-year performance period that concluded on February 14, 2022. Based on the TSR over the the performance period, 150% of the shares underlying the PRSUs, or 300,000 shares, vested in accordance with the terms set forth in DEF 14A filed by the Company with the U.S. Securities and Exchange Commission on April 30, 2020, upon the approval of the Compensation Committee of the Board of Directors of the Company on February 15, 2022. /s/ Laura Donovan By Attorney-in-Fact: Laura Donovan 2022-02-17