Sanjay Kalra - Feb 15, 2022 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
Feb 15, 2022
Transactions value $
-$286,295
Form type
4
Date filed
2/17/2022, 06:08 PM
Previous filing
Nov 16, 2021
Next filing
Feb 22, 2022

Transactions Table

Type Sym Class Transaction Value $ Shares Change % * Price $ Shares After Date Ownership Footnotes
transaction HLIT Common Stock Options Exercise $0 +9.58K +9.26% $0.00 113K Feb 15, 2022 Direct F1, F2
transaction HLIT Common Stock Tax liability -$52.5K -5.57K -4.93% $9.43 108K Feb 15, 2022 Direct F3
transaction HLIT Common Stock Options Exercise $0 +10.4K +9.72% $0.00 118K Feb 15, 2022 Direct F4
transaction HLIT Common Stock Tax liability -$51.5K -5.46K -4.63% $9.43 113K Feb 15, 2022 Direct F3
transaction HLIT Common Stock Options Exercise $0 +36.7K +32.63% $0.00 149K Feb 15, 2022 Direct F5
transaction HLIT Common Stock Tax liability -$182K -19.3K -12.95% $9.43 130K Feb 15, 2022 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 -100% $0.00* 0 Feb 15, 2022 Common Stock 9.58K $0.00 Direct
transaction HLIT Restricted Stock Units Options Exercise $0 -10.4K -20% $0.00 41.8K Feb 15, 2022 Common Stock 10.4K $0.00 Direct
transaction HLIT Restricted Stock Units Options Exercise $0 -36.7K -33.33% $0.00 73.4K Feb 15, 2022 Common Stock 36.7K $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 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.
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 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.
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.