Form 4 for HLIT HARMONIC INC.
Accepted 2021-11-16 00:00:00 ET · period of report 2021-11-12 · accession 0001209191-21-064859 · 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 | 2021-11-16 | 2021-11-15 | HLIT | Kalra Sanjay | SVP, CFO | F - Tax | $10.77 | -10.5K | 97.1K | -10% | -$113.6K |
| D | 2021-11-16 | 2021-11-12 | HLIT | Kalra Sanjay | SVP, CFO | S - Sale+OE | $10.79 | -91.2K | 92.5K | -50% | -$983.8K |
| DM | 2021-11-16 | 2021-11-15 | HLIT | Kalra Sanjay | SVP, CFO | M - OptEx | $0.00 | +20.0K | 107.5K | +23% | $0 |
| DM | 2021-11-16 | 2021-11-15 | HLIT | Kalra Sanjay | SVP, CFO | M - OptEx | $0.00 | -20.0K | 9,584 | -68% | $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 | 2021-11-15 | F | D | 5,500 | $10.77 | 102,025 | D | — | — | (F3) Shares of Harmonic Inc. common stock withheld by Harmonic Inc. to satisfy tax withholding obligation upon vesting of restricted stock units. |
| 2 | Common | Common Stock | 2021-11-12 | S | D | 91,176 | $10.79 | 92,540 | D | — | — | (F1) Includes 1,500 shares of common stock acquired in the company's Section 16-b exempt employee stock purchase plan on 7/1/2021. |
| 3 | Common | Common Stock | 2021-11-15 | M | A | 9,583 | $0.00 | 102,123 | D | — | — | (F2) These shares of common stock were acquired upon the vesting of restricted stock units on 11/15/2021. 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. |
| 4 | Common | Common Stock | 2021-11-15 | M | A | 10,447 | $0.00 | 107,525 | D | — | — | (F4) These shares of common stock were acquired upon the vesting of restricted stock units on 11/15/2021. 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. |
| 5 | Common | Common Stock | 2021-11-15 | F | D | 5,045 | $10.77 | 97,078 | D | — | — | (F3) Shares of Harmonic Inc. common stock withheld by Harmonic Inc. to satisfy tax withholding obligation upon vesting of restricted stock units. |
| 6 | Derivative | Restricted Stock Units | 2021-11-15 | M | D | 10,447 | $0.00 | 52,238 | D | $0.00 · 2021-02-15 to 2023-02-15 | 10,447 Common Stock | |
| 7 | Derivative | Restricted Stock Units | 2021-11-15 | M | D | 9,583 | $0.00 | 9,584 | D | $0.00 · 2020-02-15 to 2022-02-15 | 9,583 Common Stock |