Neven Haltmayer - 15 May 2021 Form 4 Insider Report for HARMONIC INC (HLIT)

Role
SVP, Video R&D
Signature
/s/ Laura Donovan By Attorney-in-Fact: Laura Donovan
Issuer symbol
HLIT
Transactions as of
15 May 2021
Net transactions value
-$57,208
Form type
4
Filing time
18 May 2021, 16:20:31 UTC
Next filing
04 Aug 2021
SEC
View on sec.gov

Transactions Table

Type Sym Class Transaction Value $ Shares Change % * Price $ Shares After Date Ownership Footnotes
transaction HLIT Common Stock Options Exercise $0 +8,333 +5.2% $0.000000 169,122 15 May 2021 Direct F1
transaction HLIT Common Stock Tax liability $30,300 -4,341 -2.6% $6.98 164,781 15 May 2021 Direct F2
transaction HLIT Common Stock Options Exercise $0 +7,400 +4.5% $0.000000 172,181 15 May 2021 Direct F3
transaction HLIT Common Stock Tax liability $26,908 -3,855 -2.2% $6.98 168,326 15 May 2021 Direct F2

Derivative Securities (e.g., puts, calls, warrants, options, convertible securities)

Type Sym Class Transaction Value $ Shares Change % * Price $ Shares After Date Underlying Class Amount Exercise Price Ownership Footnotes
transaction HLIT Restricted Stock Units Options Exercise $0 -8,333 -25% $0.000000 25,000 15 May 2021 Common Stock 8,333 $0.000000 Direct
transaction HLIT Restricted Stock Units Options Exercise $0 -7,400 -12% $0.000000 51,800 15 May 2021 Common Stock 7,400 $0.000000 Direct
* An asterisk sign (*) next to the price indicates that the price is likely invalid.

Explanation of Responses:

Id Content
F1 These shares of common stock were acquired upon the vesting of restricted stock units on 5/15/2021. 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.
F2 Shares of Harmonic Inc. common stock withheld by Harmonic Inc. to satisfy tax withholding obligation upon vesting of restricted stock units.
F3 These shares of common stock were acquired upon the vesting of restricted stock units on 5/15/2021. 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 February 26, 2020.