Form 4 for HLIT HARMONIC INC.
Accepted 2021-08-17 00:00:00 ET · period of report 2021-08-15 · accession 0001209191-21-051920 · SEC index · Original document
Summary rows
Aggregated the way they appear in lists: one row per insider, transaction code and security table.
| X | Filed | Traded | Ticker | Insider | Title | Type | Price | Qty | Owned | ΔOwn | Value |
|---|---|---|---|---|---|---|---|---|---|---|---|
| DM | 2021-08-17 | 2021-08-15 | HLIT | Graham Ian | SVP, Gbl Sales, Video Svcs | M - OptEx | $0.00 | +15.3K | 92.1K | +20% | $0 |
| DM | 2021-08-17 | 2021-08-15 | HLIT | Graham Ian | SVP, Gbl Sales, Video Svcs | F - Tax | $9.66 | -8,373 | 88.5K | -9% | -$80.9K |
| DM | 2021-08-17 | 2021-08-15 | HLIT | Graham Ian | SVP, Gbl Sales, Video Svcs | M - OptEx | $0.00 | -15.3K | 13.3K | -54% | $0 |
Purchase Sale Sale after option exercise All abbreviations
Every reported transaction
| # | Table | Security | Date | Code | A/D | Shares | Price | Owned after | Own | Exercise / expiry | Underlying | Footnotes |
|---|---|---|---|---|---|---|---|---|---|---|---|---|
| 1 | Common | Common Stock | 2021-08-15 | M | A | 4,584 | $0.00 | 86,073 | D | — | — | (F1) These shares of common stock were acquired upon the vesting of restricted stock units on 8/15/2021. These restricted stock units were initially granted to the Reporting Person on 6/22/2019, and were identified on a Form 3 filed by the Reporting Person on August 7, 2020. |
| 2 | Common | Common Stock | 2021-08-15 | F | D | 2,502 | $9.66 | 83,571 | D | — | — | (F2) Shares of Harmonic Inc. common stock withheld by Harmonic Inc. to satisfy tax withholding obligation upon vesting of restricted stock units. |
| 3 | Common | Common Stock | 2021-08-15 | M | A | 4,092 | $0.00 | 87,663 | D | — | — | (F3) These shares of common stock were acquired upon the vesting of restricted stock units on 8/15/2021. 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. |
| 4 | Common | Common Stock | 2021-08-15 | F | D | 2,233 | $9.66 | 85,430 | D | — | — | (F2) Shares of Harmonic Inc. common stock withheld by Harmonic Inc. to satisfy tax withholding obligation upon vesting of restricted stock units. |
| 5 | Common | Common Stock | 2021-08-15 | M | A | 6,666 | $0.00 | 92,096 | D | — | — | (F4) These shares of common stock were acquired upon the vesting of restricted stock units on 8/15/2021. 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. |
| 6 | Common | Common Stock | 2021-08-15 | F | D | 3,638 | $9.66 | 88,458 | D | — | — | (F2) Shares of Harmonic Inc. common stock withheld by Harmonic Inc. to satisfy tax withholding obligation upon vesting of restricted stock units. |
| 7 | Derivative | Restricted Stock Units | 2021-08-15 | M | D | 4,584 | $0.00 | 9,167 | D | $0.00 · 2020-02-15 to 2022-02-15 | 4,584 Common Stock | |
| 8 | Derivative | Restricted Stock Units | 2021-08-15 | M | D | 4,092 | $0.00 | 24,551 | D | $0.00 · 2021-02-15 to 2023-02-15 | 4,092 Common Stock | |
| 9 | Derivative | Restricted Stock Units | 2021-08-15 | M | D | 6,666 | $0.00 | 13,334 | D | $0.00 · 2021-08-15 to 2023-08-15 | 6,666 Common Stock |