Form 4 for HLIT HARMONIC INC.
Accepted 2022-08-17 00:00:00 ET · period of report 2022-08-15 · accession 0001209191-22-046390 · 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 |
|---|---|---|---|---|---|---|---|---|---|---|---|
| D | 2022-08-17 | 2022-08-15 | HLIT | HARSHMAN PATRICK | Pres, CEO, Dir | F - Tax | $11.46 | -16.7K | 586.8K | -3% | -$191.8K |
| D | 2022-08-17 | 2022-08-15 | HLIT | HARSHMAN PATRICK | Pres, CEO, Dir | M - OptEx | $0.00 | +31.8K | 603.6K | +6% | $0 |
| D | 2022-08-17 | 2022-08-16 | HLIT | HARSHMAN PATRICK | Pres, CEO, Dir | S - Sale+OE | $11.39 | -6,040 | 578.2K | -1% | -$68.8K |
| DM | 2022-08-17 | 2022-08-15 | HLIT | HARSHMAN PATRICK | Pres, CEO, Dir | M - OptEx | $0.00 | -31.8K | 30.5K | -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 | 2022-08-15 | F | D | 16,737 | $11.46 | 586,822 | D | — | — | (F1) 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 | 2022-08-15 | M | A | 31,791 | $0.00 | 603,559 | D | — | — | |
| 3 | Common | Common Stock | 2022-08-16 | S | D | 6,040 | $11.39 | 578,173 | D | — | — | (F2) The sale reported in this Form 4 was effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on June 15, 2022. (F3) Reflects an adjustment of 2,609 shares of common stock transferred to the reporting person's ex-spouse pursuant to a marital settlement agreement. The reporting person no longer reports as beneficially owned any securities owned by his ex-spouse. |
| 4 | Derivative | Restricted Stock | 2022-08-15 | M | D | 16,555 | $0.00 | 99,330 | D | $0.00 · 2022-02-15 to 2024-02-15 | 16,555 Common Stock | |
| 5 | Derivative | Restricted Stock | 2022-08-15 | M | D | 15,236 | $0.00 | 30,472 | D | $0.00 · 2021-02-15 to 2023-02-15 | 15,236 Common Stock |