Form 4 for HLIT HARMONIC INC.
Accepted 2022-02-17 00:00:00 ET · period of report 2022-02-15 · accession 0001209191-22-011028 · 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 | 2022-02-17 | 2022-02-15 | HLIT | Graham Ian | SVP, Gbl Sales, Video Svcs | M - OptEx | $0.00 | +38.0K | 125.5K | +43% | $0 |
| DM | 2022-02-17 | 2022-02-15 | HLIT | Graham Ian | SVP, Gbl Sales, Video Svcs | F - Tax | $9.43 | -20.8K | 97.1K | -18% | -$195.7K |
| DM | 2022-02-17 | 2022-02-15 | HLIT | Graham Ian | SVP, Gbl Sales, Video Svcs | M - OptEx | $0.00 | -38.0K | 16.4K | -70% | $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 | 2022-02-15 | M | A | 4,584 | $0.00 | 97,740 | D | — | — | (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 6/22/2019, and were identified on a Form 3 filed by the Reporting Person on August 7, 2020. |
| 2 | Common | Common Stock | 2022-02-15 | F | D | 2,502 | $9.43 | 95,238 | 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 | 2022-02-15 | M | A | 4,092 | $0.00 | 99,330 | D | — | — | (F3) 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 3 filed by the Reporting Person on August 7, 2020. |
| 4 | Common | Common Stock | 2022-02-15 | F | D | 15,105 | $9.43 | 110,420 | 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 | 2022-02-15 | M | A | 1,667 | $0.00 | 98,764 | D | — | — | (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 8/19/2020, and were identified on a Form 4 filed by the Reporting Person on 8/21/2020. |
| 6 | Common | Common Stock | 2022-02-15 | F | D | 910 | $9.43 | 97,854 | D | — | — | (F2) Shares of Harmonic Inc. common stock withheld by Harmonic Inc. to satisfy tax withholding obligation upon vesting of restricted stock units. |
| 7 | Common | Common Stock | 2022-02-15 | M | A | 27,671 | $0.00 | 125,525 | D | — | — | (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. |
| 8 | Common | Common Stock | 2022-02-15 | F | D | 2,233 | $9.43 | 97,097 | D | — | — | (F2) Shares of Harmonic Inc. common stock withheld by Harmonic Inc. to satisfy tax withholding obligation upon vesting of restricted stock units. |
| 9 | Derivative | Restricted Stock Units | 2022-02-15 | M | D | 4,584 | $0.00 | 0 | D | $0.00 · 2020-02-15 to 2022-02-15 | 4,584 Common Stock | |
| 10 | Derivative | Restricted Stock Units | 2022-02-15 | M | D | 27,671 | $0.00 | 55,343 | D | $0.00 · 2022-02-15 to 2024-02-15 | 27,671 Common Stock | |
| 11 | Derivative | Restricted Stock Units | 2022-02-15 | M | D | 1,667 | $0.00 | 10,001 | D | $0.00 · 2021-08-15 to 2023-08-15 | 1,667 Common Stock | |
| 12 | Derivative | Restricted Stock Units | 2022-02-15 | M | D | 4,092 | $0.00 | 16,367 | D | $0.00 · 2021-02-15 to 2023-02-15 | 4,092 Common Stock |