Neven Haltmayer - May 15, 2021 Form 4 Insider Report for HARMONIC INC (HLIT)

Role
SVP, Video R&D
Signature
/s/ Laura Donovan By Attorney-in-Fact: Laura Donovan
Stock symbol
HLIT
Transactions as of
May 15, 2021
Transactions value $
-$57,208
Form type
4
Date filed
5/18/2021, 04:20 PM
Next filing
Aug 4, 2021

Transactions Table

Type Sym Class Transaction Value $ Shares Change % * Price $ Shares After Date Ownership Footnotes
transaction HLIT Common Stock Options Exercise $0 +8.33K +5.18% $0.00 169K May 15, 2021 Direct F1
transaction HLIT Common Stock Tax liability -$30.3K -4.34K -2.57% $6.98 165K May 15, 2021 Direct F2
transaction HLIT Common Stock Options Exercise $0 +7.4K +4.49% $0.00 172K May 15, 2021 Direct F3
transaction HLIT Common Stock Tax liability -$26.9K -3.86K -2.24% $6.98 168K May 15, 2021 Direct F2

Derivative Securities (e.g., puts, calls, warrants, options, convertible securities)

Type Sym Class Transaction Value $ Shares Change % * Price $ Shares After Date Underlying Class Amount Exercise Price Ownership Footnotes
transaction HLIT Restricted Stock Units Options Exercise $0 -8.33K -25% $0.00 25K May 15, 2021 Common Stock 8.33K $0.00 Direct
transaction HLIT Restricted Stock Units Options Exercise $0 -7.4K -12.5% $0.00 51.8K May 15, 2021 Common Stock 7.4K $0.00 Direct
* An asterisk sign (*) next to the price indicates that the price is likely invalid.

Explanation of Responses:

Id Content
F1 These shares of common stock were acquired upon the vesting of restricted stock units on 5/15/2021. 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.
F2 Shares of Harmonic Inc. common stock withheld by Harmonic Inc. to satisfy tax withholding obligation upon vesting of restricted stock units.
F3 These shares of common stock were acquired upon the vesting of restricted stock units on 5/15/2021. 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.