Form 4 for HLIT HARMONIC INC.
Accepted 2022-02-17 00:00:00 ET · period of report 2022-02-15 · accession 0001209191-22-011032 · 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 | Kalra Sanjay | SVP, CFO | F - Tax | $9.43 | -30.4K | 129.9K | -19% | -$286.3K |
| DM | 2022-02-17 | 2022-02-15 | HLIT | Kalra Sanjay | SVP, CFO | M - OptEx | $0.00 | +56.8K | 113.1K | +101% | $0 |
| DM | 2022-02-17 | 2022-02-15 | HLIT | Kalra Sanjay | SVP, CFO | M - OptEx | $0.00 | -56.8K | 73.4K | -44% | $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 | F | D | 5,571 | $9.43 | 107,538 | 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 | 2022-02-15 | M | A | 10,448 | $0.00 | 117,986 | 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 2/24/2020, and were identified on a Form 4 filed by the Reporting Person on 2/26/2020. |
| 3 | Common | Common Stock | 2022-02-15 | F | D | 5,457 | $9.43 | 112,529 | D | — | — | (F3) Shares of Harmonic Inc. common stock withheld by Harmonic Inc. to satisfy tax withholding obligation upon vesting of restricted stock units. |
| 4 | Common | Common Stock | 2022-02-15 | M | A | 36,718 | $0.00 | 149,247 | 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. |
| 5 | Common | Common Stock | 2022-02-15 | M | A | 9,584 | $0.00 | 113,109 | 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 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. |
| 6 | Common | Common Stock | 2022-02-15 | F | D | 19,332 | $9.43 | 129,915 | D | — | — | (F3) 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 | 2022-02-15 | M | D | 9,584 | $0.00 | 0 | D | $0.00 · 2020-02-15 to 2022-02-15 | 9,584 Common Stock | |
| 8 | Derivative | Restricted Stock Units | 2022-02-15 | M | D | 10,448 | $0.00 | 41,790 | D | $0.00 · 2021-02-15 to 2023-02-15 | 10,448 Common Stock | |
| 9 | Derivative | Restricted Stock Units | 2022-02-15 | M | D | 36,718 | $0.00 | 73,435 | D | $0.00 · 2022-02-15 to 2024-02-15 | 36,718 Common Stock |