HLIT

SEC source: 0001209191-22-034518 · doc4.xml · nonDerivative · entry 1

Ben-Natan Nimrod · CIK 0001399157 · SVP & GM, Cable Access

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 511,965

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · shares: These shares acquired in exercise of a stock option scheduled to expire on March 14, 2023.

SEC source: 0001209191-22-029761 · doc4.xml · derivative · entry 4

HARSHMAN PATRICK · CIK 0001216448 · Director · President and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 115,885

Underlying: Common Stock · 16,554 shares

Expires 2024-02-15

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

SEC source: 0001209191-22-029761 · doc4.xml · derivative · entry 3

HARSHMAN PATRICK · CIK 0001216448 · Director · President and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 45,707

Underlying: Common Stock · 15,236 shares

Expires 2023-02-15

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

SEC source: 0001209191-22-029761 · doc4.xml · nonDerivative · entry 2

HARSHMAN PATRICK · CIK 0001216448 · Director · President and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 627,808

F2 · shares: Shares of Harmonic Inc. common stock withheld by Harmonic Inc. to satisfy tax withholding obligation upon vesting of restricted stock units.

SEC source: 0001209191-22-029761 · doc4.xml · nonDerivative · entry 1

HARSHMAN PATRICK · CIK 0001216448 · Director · President and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 644,544

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · balance_after: Reflects an adjustment of 612,795 shares of common stock to his ex-spouse pursuant to a marital settlement agreement. The reporting person no longer reports as beneficially owned any securities owned by his ex-spouse.

SEC source: 0001209191-22-029746 · doc4.xml · derivative · entry 3

Ben-Natan Nimrod · CIK 0001399157 · SVP & GM, Cable Access

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 63,325

Underlying: Common Stock · 9,046 shares

Expires 2024-02-15

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

SEC source: 0001209191-22-029746 · doc4.xml · derivative · entry 2

Ben-Natan Nimrod · CIK 0001399157 · SVP & GM, Cable Access

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 22,200

Underlying: Common Stock · 7,400 shares

Expires 2023-02-15

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

SEC source: 0001209191-22-029746 · doc4.xml · nonDerivative · entry 1

Ben-Natan Nimrod · CIK 0001399157 · SVP & GM, Cable Access

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 431,965

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

SEC source: 0001209191-22-029760 · doc4.xml · derivative · entry 4

Haltmayer Neven · CIK 0001380567 · SVP, Video R&D

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 52,150

Underlying: Common Stock · 7,450 shares

Expires 2024-02-15

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

SEC source: 0001209191-22-029760 · doc4.xml · derivative · entry 3

Haltmayer Neven · CIK 0001380567 · SVP, Video R&D

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 22,200

Underlying: Common Stock · 7,400 shares

Expires 2023-02-15

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

SEC source: 0001209191-22-029760 · doc4.xml · nonDerivative · entry 2

Haltmayer Neven · CIK 0001380567 · SVP, Video R&D

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 186,383

F1 · kind: Shares of Harmonic Inc. common stock withheld by Harmonic Inc. to satisfy tax withholding obligation upon vesting of restricted stock units.

SEC source: 0001209191-22-029760 · doc4.xml · nonDerivative · entry 1

Haltmayer Neven · CIK 0001380567 · SVP, Video R&D

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 194,103

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

SEC source: 0001209191-22-029758 · doc4.xml · derivative · entry 4

Kalra Sanjay · CIK 0001504670 · SVP and CFO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 64,256

Underlying: Common Stock · 9,179 shares

Expires 2024-02-15

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

SEC source: 0001209191-22-029758 · doc4.xml · derivative · entry 3

Kalra Sanjay · CIK 0001504670 · SVP and CFO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 31,343

Underlying: Common Stock · 10,447 shares

Expires 2023-02-15

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

SEC source: 0001209191-22-029758 · doc4.xml · nonDerivative · entry 2

Kalra Sanjay · CIK 0001504670 · SVP and CFO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 139,209

F1 · kind: Shares of Harmonic Inc. common stock withheld by Harmonic Inc. to satisfy tax withholding obligation upon vesting of restricted stock units.

SEC source: 0001209191-22-029758 · doc4.xml · nonDerivative · entry 1

Kalra Sanjay · CIK 0001504670 · SVP and CFO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 149,541

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

SEC source: 0001209191-22-029754 · doc4.xml · derivative · entry 5

Graham Ian · CIK 0001820347 · SVP, Global Sales & Video Svcs

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 48,426

Underlying: Common Stock · 6,917 shares

Expires 2024-02-15

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

SEC source: 0001209191-22-029754 · doc4.xml · derivative · entry 4

Graham Ian · CIK 0001820347 · SVP, Global Sales & Video Svcs

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 8,334

Underlying: Common Stock · 1,667 shares

Expires 2023-08-15

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

SEC source: 0001209191-22-029754 · doc4.xml · derivative · entry 3

Graham Ian · CIK 0001820347 · SVP, Global Sales & Video Svcs

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 12,276

Underlying: Common Stock · 4,091 shares

Expires 2023-02-15

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

SEC source: 0001209191-22-029754 · doc4.xml · nonDerivative · entry 2

Graham Ian · CIK 0001820347 · SVP, Global Sales & Video Svcs

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 115,931

F1 · kind: Shares of Harmonic Inc. common stock withheld by Harmonic Inc. to satisfy tax withholding obligation upon vesting of restricted stock units.

SEC source: 0001209191-22-029754 · doc4.xml · nonDerivative · entry 1

Graham Ian · CIK 0001820347 · SVP, Global Sales & Video Svcs

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 123,095

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

SEC source: 0001209191-22-030223 · doc4a.xml · derivative · entry 4

HARSHMAN PATRICK · CIK 0001216448 · Director · President and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 115,885

Underlying: Common Stock · 16,554 shares

Expires 2024-02-15

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

SEC source: 0001209191-22-030223 · doc4a.xml · derivative · entry 3

HARSHMAN PATRICK · CIK 0001216448 · Director · President and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 45,707

Underlying: Common Stock · 15,236 shares

Expires 2023-02-15

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

SEC source: 0001209191-22-030223 · doc4a.xml · nonDerivative · entry 2

HARSHMAN PATRICK · CIK 0001216448 · Director · President and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 627,808

F2 · shares: Shares of Harmonic Inc. common stock withheld by Harmonic Inc. to satisfy tax withholding obligation upon vesting of restricted stock units.

SEC source: 0001209191-22-030223 · doc4a.xml · nonDerivative · entry 1

HARSHMAN PATRICK · CIK 0001216448 · Director · President and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 644,544

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · balance_after: Reflects an adjustment of 612,795 shares of common stock to his ex-spouse pursuant to a marital settlement agreement. The reporting person no longer reports as beneficially owned any securities owned by his ex-spouse.

SEC source: 0001209191-22-011877 · doc4.xml · derivative · entry 1

Kalra Sanjay · CIK 0001504670 · SVP and CFO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 68,378

Underlying: Common Stock · 68,378 shares

Expires 2025-02-15

F1 · security: Each restricted stock unit represents a contingent right to receive one share of HLIT common stock.

F2 · derivative.exercise_date: One third (33.33%) of the Shares subject to the Restricted Stock Units are scheduled to vest on February 15, 2023, and approximately 8.33% of the remaining Restricted Stock Units will vest each three months thereafter, so as to be 100% vested on the third anniversary of the RSU Vesting Commencement Date.

SEC source: 0001209191-22-011875 · doc4.xml · derivative · entry 1

HARSHMAN PATRICK · CIK 0001216448 · Director · President and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 164,204

Underlying: Common Stock · 164,204 shares

Expires 2025-02-15

F1 · security: Each restricted stock unit represents a contingent right to receive one share of HLIT common stock.

F2 · derivative.exercise_date: One third (33.33%) of the Shares subject to the Restricted Stock Units are scheduled to vest on February 15, 2023, and approximately 8.33% of the remaining Restricted Stock Units will vest each three months thereafter, so as to be 100% vested on the third anniversary of the RSU Vesting Commencement Date.

SEC source: 0001209191-22-011873 · doc4.xml · derivative · entry 1

Haltmayer Neven · CIK 0001380567 · SVP, Video R&D

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 76,775

Underlying: Common Stock · 76,775 shares

Expires 2025-02-15

F1 · security: Each restricted stock unit represents a contingent right to receive one share of HLIT common stock.

F2 · derivative.exercise_date: One third (33.33%) of the Shares subject to the Restricted Stock Units are scheduled to vest on February 15, 2023, and approximately 8.33% of the remaining Restricted Stock Units will vest each three months thereafter, so as to be 100% vested on the third anniversary of the RSU Vesting Commencement Date.

SEC source: 0001209191-22-011871 · doc4.xml · derivative · entry 1

Graham Ian · CIK 0001820347 · SVP, Global Sales & Video Svcs

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 62,380

Underlying: Common Stock · 62,380 shares

Expires 2025-02-15

F1 · security: Each restricted stock unit represents a contingent right to receive one share of HLIT common stock.

F2 · derivative.exercise_date: One third (33.33%) of the Shares subject to the Restricted Stock Units are scheduled to vest on February 15, 2023, and approximately 8.33% of the remaining Restricted Stock Units will vest each three months thereafter, so as to be 100% vested on the third anniversary of the RSU Vesting Commencement Date.

SEC source: 0001209191-22-011869 · doc4.xml · derivative · entry 1

Ben-Natan Nimrod · CIK 0001399157 · SVP & GM, Cable Access

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 81,574

Underlying: Common Stock · 81,574 shares

Expires 2025-02-15

F1 · security: Each restricted stock unit represents a contingent right to receive one share of HLIT common stock.

F2 · derivative.exercise_date: One third (33.33%) of the Shares subject to the Restricted Stock Units are scheduled to vest on February 15, 2023, and approximately 8.33% of the remaining Restricted Stock Units will vest each three months thereafter, so as to be 100% vested on the third anniversary of the RSU Vesting Commencement Date.

SEC source: 0001209191-22-011740 · doc4.xml · derivative · entry 1

Whalen Daniel T · CIK 0001689876 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 14,395

Underlying: Common Stock · 14,395 shares

Expires 2023-02-15

F1 · security: Each restricted stock unit represents a contingent right to receive one share of HLIT common stock.

F2 · derivative.exercise_date: The shares subject to the restricted stock units are scheduled to vest in full on February 15, 2023. Vested shares will be delivered to the reporting person on or immediately following February 15, 2023.

SEC source: 0001209191-22-011730 · doc4.xml · derivative · entry 1

SWENSON SUSAN · CIK 0001112671 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 14,395

Underlying: Common Stock · 14,395 shares

Expires 2023-02-15

F1 · security: Each restricted stock unit represents a contingent right to receive one share of HLIT common stock.

F2 · derivative.exercise_date: The shares subject to the restricted stock units are scheduled to vest in full on February 15, 2023. Vested shares will be delivered to the reporting person on or immediately following February 15, 2023.

SEC source: 0001209191-22-011732 · doc4.xml · derivative · entry 1

Theodosopoulos Nikos · CIK 0001605860 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 14,395

Underlying: Common Stock · 14,395 shares

Expires 2023-02-15

F1 · security: Each restricted stock unit represents a contingent right to receive one share of HLIT common stock.

F2 · derivative.exercise_date: The shares subject to the restricted stock units are scheduled to vest in full on February 15, 2023. Vested shares will be delivered to the reporting person on or immediately following February 15, 2023.

SEC source: 0001209191-22-011722 · doc4.xml · derivative · entry 1

KRALL DAVID · CIK 0001203375 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 14,395

Underlying: Common Stock · 14,395 shares

Expires 2023-02-15

F1 · security: Each restricted stock unit represents a contingent right to receive one share of HLIT common stock.

F2 · derivative.exercise_date: The shares subject to the restricted stock units are scheduled to vest in full on February 15, 2023. Vested shares will be delivered to the reporting person on or immediately following February 15, 2023.

SEC source: 0001209191-22-011727 · doc4.xml · derivative · entry 1

Reaugh Mitzi · CIK 0001554982 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 14,395

Underlying: Common Stock · 14,395 shares

Expires 2023-02-15

F1 · security: Each restricted stock unit represents a contingent right to receive one share of HLIT common stock.

F2 · derivative.exercise_date: The shares subject to the restricted stock units are scheduled to vest in full on February 15, 2023. Vested shares will be delivered to the reporting person on or immediately following February 15, 2023.

SEC source: 0001209191-22-011720 · doc4.xml · derivative · entry 1

GALLAGHER PATRICK · CIK 0001221168 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 14,395

Underlying: Common Stock · 14,395 shares

Expires 2023-02-15

F1 · security: Each restricted stock unit represents a contingent right to receive one share of HLIT common stock.

F2 · derivative.exercise_date: The shares subject to the restricted stock units are scheduled to vest in full on February 15, 2023. The vested RSUs will be settled in shares within 60 days following the earliest to occur of (I) a change-in-control event, (ii) the director's separation from service from the company, or (iii) the director's death.

SEC source: 0001209191-22-011717 · doc4.xml · derivative · entry 1

Clifford Deborah · CIK 0001756365 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 14,395

Underlying: Common Stock · 14,395 shares

Expires 2023-02-15

F1 · security: Each restricted stock unit represents a contingent right to receive one share of HLIT common stock.

F2 · derivative.exercise_date: The shares subject to the restricted stock units are scheduled to vest in full on February 15, 2023. The vested RSUs will be settled in shares within 60 days following the earliest to occur of (I) a change-in-control event, (ii) the director's separation from service from the company, or (iii) the director's death.

SEC source: 0001209191-22-011091 · doc4.xml · derivative · entry 2

KRALL DAVID · CIK 0001203375 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 19,157 shares

Expires 2022-02-15

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F2 · security: Each restricted stock unit represents a contingent right to receive one share of HLIT common stock.

SEC source: 0001209191-22-011091 · doc4.xml · nonDerivative · entry 1

KRALL DAVID · CIK 0001203375 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 128,649

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · shares: 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 2/17/2021, and were identified on a Form 4 filed by the Reporting Person on 2/19/2021.

SEC source: 0001209191-22-011090 · doc4.xml · derivative · entry 11

HARSHMAN PATRICK · CIK 0001216448 · Director · President and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 132,439

Underlying: Common Stock · 66,220 shares

Expires 2024-02-15

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

SEC source: 0001209191-22-011090 · doc4.xml · derivative · entry 10

HARSHMAN PATRICK · CIK 0001216448 · Director · President and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 60,943

Underlying: Common Stock · 15,236 shares

Expires 2023-02-15

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

SEC source: 0001209191-22-011090 · doc4.xml · derivative · entry 9

HARSHMAN PATRICK · CIK 0001216448 · Director · President and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 16,667 shares

Expires 2022-02-15

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

SEC source: 0001209191-22-011090 · doc4.xml · nonDerivative · entry 8

HARSHMAN PATRICK · CIK 0001216448 · Director · President and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,225,550

F2 · shares: Shares of Harmonic Inc. common stock withheld by Harmonic Inc. to satisfy tax withholding obligation upon vesting of restricted stock units.

SEC source: 0001209191-22-011090 · doc4.xml · nonDerivative · entry 7

HARSHMAN PATRICK · CIK 0001216448 · Director · President and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,383,500

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F5 · shares: These performance-based restricted stock units ("PRSUs") were granted on April 12, 2019, with vesting based on the total stockholder return ("TSR") to holders of Company common stock during a three-year performance period that concluded on February 14, 2022. Based on the TSR over the the performance period, 150% of the shares underlying the PRSUs, or 300,000 shares, vested in accordance with the terms set forth in DEF 14A filed by the Company with the U.S. Securities and Exchange Commission on April 30, 2020, upon the approval of the Compensation Committee of the Board of Directors of the Company on February 15, 2022.

SEC source: 0001209191-22-011090 · doc4.xml · nonDerivative · entry 6

HARSHMAN PATRICK · CIK 0001216448 · Director · President and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,083,500

F2 · shares: Shares of Harmonic Inc. common stock withheld by Harmonic Inc. to satisfy tax withholding obligation upon vesting of restricted stock units.

SEC source: 0001209191-22-011090 · doc4.xml · nonDerivative · entry 5

HARSHMAN PATRICK · CIK 0001216448 · Director · President and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,118,364

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F4 · shares: 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.

SEC source: 0001209191-22-011090 · doc4.xml · nonDerivative · entry 4

HARSHMAN PATRICK · CIK 0001216448 · Director · President and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,052,144

F2 · shares: Shares of Harmonic Inc. common stock withheld by Harmonic Inc. to satisfy tax withholding obligation upon vesting of restricted stock units.

SEC source: 0001209191-22-011090 · doc4.xml · nonDerivative · entry 3

HARSHMAN PATRICK · CIK 0001216448 · Director · President and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,060,165

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F3 · shares: 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.

SEC source: 0001209191-22-011090 · doc4.xml · nonDerivative · entry 2

HARSHMAN PATRICK · CIK 0001216448 · Director · President and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,044,929

F2 · shares: Shares of Harmonic Inc. common stock withheld by Harmonic Inc. to satisfy tax withholding obligation upon vesting of restricted stock units.

SEC source: 0001209191-22-011090 · doc4.xml · nonDerivative · entry 1

HARSHMAN PATRICK · CIK 0001216448 · Director · President and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,054,069

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · shares: 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.