Reported relationships
Latest disclosed role at each company.
| Company | Last reported as | Report date | Published |
|---|---|---|---|
| HARMONIC INC.HLIT · Entity 4789 | SVP and CTO, Video Products | November 15, 2018 | November 20, 2018 |
Disclosed balances
About these balances
Latest available filing per company, not a reconstructed current portfolio. Matching sequences show the last reported balance with all source rows expandable; grouping alone does not establish account ownership. Do not add unresolved positions together. Filings may omit unchanged positions, and amendments may correct only part of an older disclosure. Jointly reported shares are not necessarily this owner's personal holdings.
HARMONIC INC.
Report date November 15, 2018 · Filed November 20, 2018
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | Direct | 332,521 |
Reported balance
After 2018-11-15 transaction · row 1
1 source rowRow 1 · 2018-11-15 · Exercise / conversion · Acquired 6,250 · Balance 332,521 F1: These shares of common stock were acquired upon the vesting of restricted stock units on 11/15/2018. These restricted stock units were initially granted to the Reporting Person on 3/20/2017, and were identified on a Form 3 filed by the Reporting Person on 2/15/2018. |
| Restricted Stock UnitSEC Table II · derivative / convertible security · Conversion / exercise price $0.00 · Expires 2019-02-15 | Direct | 6,250 |
Reported balance
After 2018-11-15 transaction · row 2
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 2 · 2018-11-15 · Exercise / conversion · Disposed 6,250 · Balance 6,250 |
Filing footnotes · ownership attribution and instrument terms
F1: These shares of common stock were acquired upon the vesting of restricted stock units on 11/15/2018. These restricted stock units were initially granted to the Reporting Person on 3/20/2017, and were identified on a Form 3 filed by the Reporting Person on 2/15/2018.
Transaction history
JSON APIPurchases/sales include open-market and private transactions. Plan disclosure applies to the filing; individual rows may differ. “Not disclosed” is not “unplanned.”
The cutoff filters transaction history only. Company summaries and owner relationships show the latest available disclosures. Parser corrections can improve historical records.
| Transaction date | Company | Activity / security | Shares / units | Reported price | Reported value | Details |
|---|---|---|---|---|---|---|
| November 15, 2018 Filed Nov 20, 2018 01:13 UTC | HARMONIC INC. HLIT · Entity 4789 | Exercise / conversionRestricted Stock Unit · Derivative | 6,250 | $0.00 Strike: $0.00 | $0.00 |
DisclosureSEC source: 0001209191-18-059359 · doc4.xml · derivative · entry 2 Warren Timothy · CIK 0001731241 · SVP and CTO, Video Products 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 6,250 Underlying: Common Stock · 6,250 shares Expires 2019-02-15 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. Read SEC document |
| November 15, 2018 Filed Nov 20, 2018 01:13 UTC | HARMONIC INC. HLIT · Entity 4789 | Exercise / conversionCommon Stock | 6,250 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-18-059359 · doc4.xml · nonDerivative · entry 1 Warren Timothy · CIK 0001731241 · SVP and CTO, Video Products 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 332,521 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 11/15/2018. These restricted stock units were initially granted to the Reporting Person on 3/20/2017, and were identified on a Form 3 filed by the Reporting Person on 2/15/2018. Read SEC document |
| August 15, 2018 Filed Aug 17, 2018 20:10 UTC | HARMONIC INC. HLIT · Entity 4789 | Exercise / conversionRestricted Stock Unit · Derivative | 6,250 | $0.00 Strike: $0.00 | $0.00 |
DisclosureSEC source: 0001209191-18-047336 · doc4.xml · derivative · entry 3 Warren Timothy · CIK 0001731241 · SVP and CTO, Video Products 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 12,500 Underlying: Common Stock · 6,250 shares Expires 2019-02-15 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. Read SEC document |
| August 15, 2018 Filed Aug 17, 2018 20:10 UTC | HARMONIC INC. HLIT · Entity 4789 | Exercise / conversionCommon Stock | 15,910 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-18-047336 · doc4.xml · nonDerivative · entry 2 Warren Timothy · CIK 0001731241 · SVP and CTO, Video Products 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 326,271 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 · shares: These shares of common stock were acquired upon the vesting of performance-based restricted stock units on 8/15/2018. F3 · balance_after: Includes 1,500 shares of common stock acquired in the company's Section 16-b exempt employee stock purchase plan on 7/2/2018. Read SEC document |
| August 15, 2018 Filed Aug 17, 2018 20:10 UTC | HARMONIC INC. HLIT · Entity 4789 | Exercise / conversionCommon Stock | 6,250 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-18-047336 · doc4.xml · nonDerivative · entry 1 Warren Timothy · CIK 0001731241 · SVP and CTO, Video Products 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 310,361 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 8/15/2018. These restricted stock units were initially granted to the Reporting Person on 3/20/2017, and were identified on a Form 3 filed by the Reporting Person on 2/15/2018. Read SEC document |
| August 01, 2018 Filed Aug 3, 2018 21:01 UTC | HARMONIC INC. HLIT · Entity 4789 | Exercise / conversionRestricted Stock Units · Derivative | 3,125 | $0.00 Strike: $0.00 | $0.00 |
DisclosureSEC source: 0001209191-18-045327 · doc4.xml · derivative · entry 2 Warren Timothy · CIK 0001731241 · SVP and CTO, Video Products 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 3,125 shares Expires 2018-08-01 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. Read SEC document |
| August 01, 2018 Filed Aug 3, 2018 21:01 UTC | HARMONIC INC. HLIT · Entity 4789 | Exercise / conversionCommon Stock | 3,125 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-18-045327 · doc4.xml · nonDerivative · entry 1 Warren Timothy · CIK 0001731241 · SVP and CTO, Video Products 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 302,611 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 8/1/2018. These restricted stock units were initially granted to the Reporting Person on 8/25/2016, and were identified on a Form 3 filed by the Reporting Person on 2/15/2018. Read SEC document |
| May 15, 2018 Filed May 17, 2018 20:20 UTC | HARMONIC INC. HLIT · Entity 4789 | Exercise / conversionRestricted Stock Units · Derivative | 6,250 | $0.00 Strike: $0.00 | $0.00 |
DisclosureSEC source: 0001209191-18-030895 · doc4.xml · derivative · entry 2 Warren Timothy · CIK 0001731241 · SVP and CTO, Video Products 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 18,750 Underlying: Common Stock · 6,250 shares Expires 2019-02-15 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. Read SEC document |
| May 15, 2018 Filed May 17, 2018 20:20 UTC | HARMONIC INC. HLIT · Entity 4789 | Exercise / conversionCommon Stock | 6,250 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-18-030895 · doc4.xml · nonDerivative · entry 1 Warren Timothy · CIK 0001731241 · SVP and CTO, Video Products 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 299,486 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 5/15/2018. These restricted stock units were initially granted to the Reporting Person on 3/20/2017, and were identified on a Form 3 filed by the Reporting Person on 2/15/2018. Read SEC document |
| May 01, 2018 Filed May 3, 2018 21:27 UTC | HARMONIC INC. HLIT · Entity 4789 | Exercise / conversionRestricted Stock Units · Derivative | 3,125 | $0.00 Strike: $0.00 | $0.00 |
DisclosureSEC source: 0001209191-18-027745 · doc4.xml · derivative · entry 2 Warren Timothy · CIK 0001731241 · SVP and CTO, Video Products 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 3,125 Underlying: Common Stock · 3,125 shares Expires 2018-08-01 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. Read SEC document |
| May 01, 2018 Filed May 3, 2018 21:27 UTC | HARMONIC INC. HLIT · Entity 4789 | Exercise / conversionCommon Stock | 3,125 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-18-027745 · doc4.xml · nonDerivative · entry 1 Warren Timothy · CIK 0001731241 · SVP and CTO, Video Products 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 293,236 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 5/1/2018. These restricted stock units were were identified on a Form 3 filed by the Reporting Person on 2/15/2018. Read SEC document |
| March 20, 2018 Filed Mar 23, 2018 00:51 UTC | HARMONIC INC. HLIT · Entity 4789 | GrantRestricted Stock Units · Derivative | 100,000 | $0.00 Strike: $0.00 | $0.00 |
DisclosureSEC source: 0001209191-18-021353 · doc4.xml · derivative · entry 1 Warren Timothy · CIK 0001731241 · SVP and CTO, Video Products 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 100,000 Underlying: Common Stock · 100,000 shares Expires 2021-02-15 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, 2019, 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. Read SEC document |
| March 08, 2018 Filed Mar 9, 2018 23:37 UTC | HARMONIC INC. HLIT · Entity 4789 | Exercise / conversionCommon Stock | 20,880 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-18-018615 · doc4.xml · nonDerivative · entry 1 Warren Timothy · CIK 0001731241 · SVP, Video Products 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 290,111 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 performance-based restricted stock units on March 8, 2018. Read SEC document |
| February 15, 2018 Filed Feb 20, 2018 23:29 UTC | HARMONIC INC. HLIT · Entity 4789 | Exercise / conversionRestricted Stock Unit · Derivative | 25,000 | $0.00 Strike: $0.00 | $0.00 |
DisclosureSEC source: 0001209191-18-011542 · doc4.xml · derivative · entry 6 Warren Timothy · CIK 0001731241 · SVP, Video Products 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 25,000 Underlying: Common Stock · 25,000 shares Expires 2019-02-15 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. Read SEC document |
| February 15, 2018 Filed Feb 20, 2018 23:29 UTC | HARMONIC INC. HLIT · Entity 4789 | Exercise / conversionRestricted Stock Unit · Derivative | 2,250 | $0.00 Strike: $0.00 | $0.00 |
DisclosureSEC source: 0001209191-18-011542 · doc4.xml · derivative · entry 5 Warren Timothy · CIK 0001731241 · SVP, Video Products 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 2,250 shares Expires 2018-02-15 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. Read SEC document |
| February 15, 2018 Filed Feb 20, 2018 23:29 UTC | HARMONIC INC. HLIT · Entity 4789 | Exercise / conversionRestricted Stock Unit · Derivative | 2,400 | $0.00 Strike: $0.00 | $0.00 |
DisclosureSEC source: 0001209191-18-011542 · doc4.xml · derivative · entry 4 Warren Timothy · CIK 0001731241 · SVP, Video Products 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 2,400 shares Expires 2018-02-15 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. Read SEC document |
| February 15, 2018 Filed Feb 20, 2018 23:29 UTC | HARMONIC INC. HLIT · Entity 4789 | Exercise / conversionCommon Stock | 25,000 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-18-011542 · doc4.xml · nonDerivative · entry 3 Warren Timothy · CIK 0001731241 · SVP, Video Products 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 269,231 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 2/15/2018. These restricted stock units were initially granted to the Reporting Person on 3/20/2017, and were identified on a Form 3 filed by the Reporting Person on 2/15/2018. Read SEC document |
| February 15, 2018 Filed Feb 20, 2018 23:29 UTC | HARMONIC INC. HLIT · Entity 4789 | Exercise / conversionCommon Stock | 2,250 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-18-011542 · doc4.xml · nonDerivative · entry 2 Warren Timothy · CIK 0001731241 · SVP, Video Products 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 244,231 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 · shares: These shares of common stock were acquired upon the vesting of restricted stock units on 2/15/2018. These restricted stock units were initially granted to the Reporting Person on 3/14/2016, and were identified on a Form 3 filed by the Reporting Person on 2/15/2018. Read SEC document |
| February 15, 2018 Filed Feb 20, 2018 23:29 UTC | HARMONIC INC. HLIT · Entity 4789 | Exercise / conversionCommon Stock | 2,400 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-18-011542 · doc4.xml · nonDerivative · entry 1 Warren Timothy · CIK 0001731241 · SVP, Video Products 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 241,981 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 2/15/2018. These restricted stock units were initially granted to the Reporting Person on 3/13/2015, and were identified on a Form 3 filed by the Reporting Person on 2/15/2018. Read SEC document |
Value uses the disclosed total when available, otherwise shares × reported transaction price. It is not an estimate of exercise cash cost or investment performance.