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

Role
SVP and CFO
Signature
/s/ Laura Donovan By Attorney-in-Fact: Laura Donovan
Stock symbol
HLIT
Transactions as of
Nov 12, 2021
Transactions value $
-$1,097,094
Form type
4
Date filed
11/16/2021, 05:36 PM
Previous filing
Sep 3, 2021
Next filing
Feb 17, 2022

Transactions Table

Type Sym Class Transaction Value $ Shares Change % * Price $ Shares After Date Ownership Footnotes
transaction HLIT Common Stock Sale -$984K -91.2K -49.63% $10.79 92.5K Nov 12, 2021 Direct F1
transaction HLIT Common Stock Options Exercise $0 +9.58K +10.36% $0.00 102K Nov 15, 2021 Direct F2
transaction HLIT Common Stock Tax liability -$54.3K -5.05K -4.94% $10.77 97.1K Nov 15, 2021 Direct F3
transaction HLIT Common Stock Options Exercise $0 +10.4K +10.76% $0.00 108K Nov 15, 2021 Direct F4
transaction HLIT Common Stock Tax liability -$59.2K -5.5K -5.12% $10.77 102K Nov 15, 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 -9.58K -50% $0.00 9.58K Nov 15, 2021 Common Stock 9.58K $0.00 Direct
transaction HLIT Restricted Stock Units Options Exercise $0 -10.4K -16.67% $0.00 52.2K Nov 15, 2021 Common Stock 10.4K $0.00 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.