Form 4 for HLIT HARMONIC INC.
Accepted 2021-08-17 00:00:00 ET · period of report 2021-08-15 · accession 0001209191-21-051928 · 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 | Kalra Sanjay | SVP, CFO | M - OptEx | $0.00 | +20.0K | 187.7K | +12% | $0 |
| DM | 2021-08-17 | 2021-08-15 | HLIT | Kalra Sanjay | SVP, CFO | F - Tax | $9.66 | -10.5K | 177.3K | -6% | -$101.9K |
| DM | 2021-08-17 | 2021-08-15 | HLIT | Kalra Sanjay | SVP, CFO | M - OptEx | $0.00 | -20.0K | 19.2K | -51% | $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 | 9,583 | $0.00 | 182,313 | 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 4/15/2019, and were identified on a Form 4 filed by the Reporting Person on 4/17/2019. |
| 2 | Common | Common Stock | 2021-08-15 | F | D | 5,500 | $9.66 | 182,216 | 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 | 10,448 | $0.00 | 187,716 | 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 4 filed by the Reporting Person on February 26, 2020. |
| 4 | Common | Common Stock | 2021-08-15 | F | D | 5,045 | $9.66 | 177,268 | D | — | — | (F2) Shares of Harmonic Inc. common stock withheld by Harmonic Inc. to satisfy tax withholding obligation upon vesting of restricted stock units. |
| 5 | Derivative | Restricted Stock Units | 2021-08-15 | M | D | 10,448 | $0.00 | 62,685 | D | $0.00 · 2021-02-15 to 2023-02-15 | 10,448 Common Stock | |
| 6 | Derivative | Restricted Stock Units | 2021-08-15 | M | D | 9,583 | $0.00 | 19,167 | D | $0.00 · 2020-02-15 to 2022-02-15 | 9,583 Common Stock |