Sanjay Kalra - 12 Nov 2021 Form 4 Insider Report for HARMONIC INC (HLIT)

Role
SVP and CFO
Signature
/s/ Laura Donovan By Attorney-in-Fact: Laura Donovan
Issuer symbol
HLIT
Transactions as of
12 Nov 2021
Net transactions value
-$1,097,094
Form type
4
Filing time
16 Nov 2021, 17:36:13 UTC
Previous filing
03 Sep 2021
Next filing
17 Feb 2022
SEC
View on sec.gov

Transactions Table

Type Sym Class Transaction Value $ Shares Change % * Price $ Shares After Date Ownership Footnotes
transaction HLIT Common Stock Sale $983,525 -91,176 -50% $10.79 92,540 12 Nov 2021 Direct F1
transaction HLIT Common Stock Options Exercise $0 +9,583 +10% $0.000000 102,123 15 Nov 2021 Direct F2
transaction HLIT Common Stock Tax liability $54,335 -5,045 -4.9% $10.77 97,078 15 Nov 2021 Direct F3
transaction HLIT Common Stock Options Exercise $0 +10,447 +11% $0.000000 107,525 15 Nov 2021 Direct F4
transaction HLIT Common Stock Tax liability $59,235 -5,500 -5.1% $10.77 102,025 15 Nov 2021 Direct F3

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 -9,583 -50% $0.000000 9,584 15 Nov 2021 Common Stock 9,583 $0.000000 Direct
transaction HLIT Restricted Stock Units Options Exercise $0 -10,447 -17% $0.000000 52,238 15 Nov 2021 Common Stock 10,447 $0.000000 Direct
* An asterisk sign (*) next to the price indicates that the price is likely invalid.

Explanation of Responses:

Id Content
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.
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.
F3 Shares of Harmonic Inc. common stock withheld by Harmonic Inc. to satisfy tax withholding obligation upon vesting of restricted stock units.
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.