Form Type: 4

SEC EDGAR Link
Accession Number:0001209191-19-054825
Date:2019-11-01
Issuer: HARMONIC INC (HLIT)
Original Submission Date:

Reporting Person:

KALRA SANJAY
4300 NORTH FIRST STREET
SAN JOSE, CA 95134

Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
Title of SecurityTransaction Date2a. Deemed Execution Date Transaction CodeSharesAcquired or DisposedPrice per share 5. Amount of Securities Beneficially Owned Following Reported Transaction 6. Ownership Form Direct or IndirectNature of Indirect Ownership
COMMON STOCK 2019-11-01 M 5,000 a $0.00 126,819 direct
COMMON STOCK 2019-11-01 F 2,024 d $8.00 124,795 direct
Derivative Securities Acquired, Disposed of, or Beneficially Owned
(e.g., puts, calls, warrants, convertible securities
Title of Derivative Security Conversion or Exercise Price of Derivative Security Transaction Date Deemed Execution Date Transaction Code Number of Derivative Securities Acquired (A) or Disposed of (D) Date ExercisableExpiration Date Title and Amount of Securities Underlying Derivative Security Price of Derivative Security Number of derivative Securities Beneficially Owned Following Reported Transaction(s) Ownership Form: Direct (D) or Indirect (I) Nature of Indirect Beneficial Ownership
RESTRICTED STOCK UNITS 0.0 2019-11-01 deemed execution date M 5,000 (d) 2017-11-01 2019-11-01 common stock 5,000 $0.00 0 direct
Footnotes
IDfootnote
f1 these shares of common stock were acquired upon the vesting of restricted stock units on 11/1/2019. these restricted stock units were initially granted to the reporting person on 11/21/2016, and were identified on a form 3 filed by the reporting person on 6/6/2017.
f2 shares of harmonic inc. common stock withheld by harmonic inc. to satisfy tax withholding obligation upon vesting of restricted stock units.
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