Sanjay Kalra - 15 Feb 2022 Form 4 Insider Report for HARMONIC INC (HLIT)

Role
SVP and CFO
Signature
/s/ Laura Donovan By Attorney-in-Fact: Laura Donovan
Issuer symbol
HLIT
Transactions as of
15 Feb 2022
Net transactions value
-$286,295
Form type
4
Filing time
17 Feb 2022, 18:08:07 UTC
Previous filing
16 Nov 2021
Next filing
22 Feb 2022
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 +9,584 +9.3% $0.000000 113,109 15 Feb 2022 Direct F1, F2
transaction HLIT Common Stock Tax liability $52,535 -5,571 -4.9% $9.43 107,538 15 Feb 2022 Direct F3
transaction HLIT Common Stock Options Exercise $0 +10,448 +9.7% $0.000000 117,986 15 Feb 2022 Direct F4
transaction HLIT Common Stock Tax liability $51,460 -5,457 -4.6% $9.43 112,529 15 Feb 2022 Direct F3
transaction HLIT Common Stock Options Exercise $0 +36,718 +33% $0.000000 149,247 15 Feb 2022 Direct F5
transaction HLIT Common Stock Tax liability $182,301 -19,332 -13% $9.43 129,915 15 Feb 2022 Direct F3

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 -9,584 -100% $0.000000* 0 15 Feb 2022 Common Stock 9,584 $0.000000 Direct
transaction HLIT Restricted Stock Units Options Exercise $0 -10,448 -20% $0.000000 41,790 15 Feb 2022 Common Stock 10,448 $0.000000 Direct
transaction HLIT Restricted Stock Units Options Exercise $0 -36,718 -33% $0.000000 73,435 15 Feb 2022 Common Stock 36,718 $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 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.
F2 Includes 1,500 shares of common stock acquired in the company's Section 16-b exempt employee stock purchase plan on 1/2/2022.
F3 Shares of Harmonic Inc. common stock withheld by Harmonic Inc. to satisfy tax withholding obligation upon vesting of restricted stock units.
F4 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.
F5 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.