Reported relationships
Latest disclosed role at each company.
| Company | Last reported as | Report date | Published |
|---|---|---|---|
| HARMONIC INC.HLIT · Entity 4789 | SVP, Video Products | November 15, 2017 | November 17, 2017 |
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, 2017 · Filed November 17, 2017
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | Direct | 54,653 |
Reported balance
After 2017-11-15 transaction · row 1
Sequence does not reconcile; account continuity is unresolved.
1 source rowRow 1 · 2017-11-15 · Exercise / conversion · Acquired 4,528 · Balance 54,653 F1: These shares of common stock were acquired upon the vesting of restricted stock units on 11/15/2017. These restricted stock units were initially granted to the Reporting Person on 3/14/2016, and were identified on a Form 4 filed by the Reporting Person on 3/16/2016. |
| Common StockSEC Table I · non-derivative | Direct | 52,929 |
Reported balance
After 2017-11-16 transaction · row 2
Sequence does not reconcile; account continuity is unresolved.
1 source rowRow 2 · 2017-11-16 · Sale · Disposed 1,724 · Balance 52,929 F2: Represents the number of shares automatically sold to cover tax withholding obligations in connection with the vesting of restricted stock units. This sale is mandated by the Issuer's election under its 1995 Stock Plan to enable the satisfaction of tax withholding obligations with funding from a "sell to cover" transaction and does not represent a discretionary trade by the Reporting Person. |
| Common StockSEC Table I · non-derivative | Direct | 69,431 |
Reported balance
After 2017-11-15 transaction · row 3
Sequence does not reconcile; account continuity is unresolved.
1 source rowRow 3 · 2017-11-15 · Exercise / conversion · Acquired 16,502 · Balance 69,431 F3: These shares of common stock were acquired upon the vesting of performance-based restricted stock units on 11/15/2017. |
| Common StockSEC Table I · non-derivative | Direct | 63,151 |
Reported balance
After 2017-11-16 transaction · row 4
Sequence does not reconcile; account continuity is unresolved.
1 source rowRow 4 · 2017-11-16 · Sale · Disposed 6,280 · Balance 63,151 F2: Represents the number of shares automatically sold to cover tax withholding obligations in connection with the vesting of restricted stock units. This sale is mandated by the Issuer's election under its 1995 Stock Plan to enable the satisfaction of tax withholding obligations with funding from a "sell to cover" transaction and does not represent a discretionary trade by the Reporting Person. |
| Restricted Stock UnitSEC Table II · derivative / convertible security · Conversion / exercise price $0.00 · Expires 2018-02-15 | Direct | 4,528 |
Reported balance
After 2017-11-15 transaction · row 5
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 5 · 2017-11-15 · Exercise / conversion · Disposed 4,528 · Balance 4,528 |
Filing footnotes · ownership attribution and instrument terms
F1: These shares of common stock were acquired upon the vesting of restricted stock units on 11/15/2017. These restricted stock units were initially granted to the Reporting Person on 3/14/2016, and were identified on a Form 4 filed by the Reporting Person on 3/16/2016.
F2: Represents the number of shares automatically sold to cover tax withholding obligations in connection with the vesting of restricted stock units. This sale is mandated by the Issuer's election under its 1995 Stock Plan to enable the satisfaction of tax withholding obligations with funding from a "sell to cover" transaction and does not represent a discretionary trade by the Reporting Person.
F3: These shares of common stock were acquired upon the vesting of performance-based restricted stock units on 11/15/2017.
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 16, 2017 Filed Nov 17, 2017 21:41 UTC | HARMONIC INC. HLIT · Entity 4789 | SaleCommon Stock | 6,280 | $3.81 | $23,921.15 |
DisclosureSEC source: 0001209191-17-061522 · doc4.xml · nonDerivative · entry 4 Spriester Bart · CIK 0001633975 · SVP, Video Products 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 63,151 F2 · kind: Represents the number of shares automatically sold to cover tax withholding obligations in connection with the vesting of restricted stock units. This sale is mandated by the Issuer's election under its 1995 Stock Plan to enable the satisfaction of tax withholding obligations with funding from a "sell to cover" transaction and does not represent a discretionary trade by the Reporting Person. F2 · shares: Represents the number of shares automatically sold to cover tax withholding obligations in connection with the vesting of restricted stock units. This sale is mandated by the Issuer's election under its 1995 Stock Plan to enable the satisfaction of tax withholding obligations with funding from a "sell to cover" transaction and does not represent a discretionary trade by the Reporting Person. Read SEC document |
| November 16, 2017 Filed Nov 17, 2017 21:41 UTC | HARMONIC INC. HLIT · Entity 4789 | SaleCommon Stock | 1,724 | $3.81 | $6,566.89 |
DisclosureSEC source: 0001209191-17-061522 · doc4.xml · nonDerivative · entry 2 Spriester Bart · CIK 0001633975 · SVP, Video Products 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 52,929 F2 · kind: Represents the number of shares automatically sold to cover tax withholding obligations in connection with the vesting of restricted stock units. This sale is mandated by the Issuer's election under its 1995 Stock Plan to enable the satisfaction of tax withholding obligations with funding from a "sell to cover" transaction and does not represent a discretionary trade by the Reporting Person. F2 · shares: Represents the number of shares automatically sold to cover tax withholding obligations in connection with the vesting of restricted stock units. This sale is mandated by the Issuer's election under its 1995 Stock Plan to enable the satisfaction of tax withholding obligations with funding from a "sell to cover" transaction and does not represent a discretionary trade by the Reporting Person. Read SEC document |
| November 15, 2017 Filed Nov 17, 2017 21:41 UTC | HARMONIC INC. HLIT · Entity 4789 | Exercise / conversionRestricted Stock Unit · Derivative | 4,528 | $0.00 Strike: $0.00 | $0.00 |
DisclosureSEC source: 0001209191-17-061522 · doc4.xml · derivative · entry 5 Spriester Bart · CIK 0001633975 · SVP, Video Products 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 4,528 Underlying: Common Stock · 4,528 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 |
| November 15, 2017 Filed Nov 17, 2017 21:41 UTC | HARMONIC INC. HLIT · Entity 4789 | Exercise / conversionCommon Stock | 16,502 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-17-061522 · doc4.xml · nonDerivative · entry 3 Spriester Bart · CIK 0001633975 · SVP, Video Products 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 69,431 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 performance-based restricted stock units on 11/15/2017. Read SEC document |
| November 15, 2017 Filed Nov 17, 2017 21:41 UTC | HARMONIC INC. HLIT · Entity 4789 | Exercise / conversionCommon Stock | 4,528 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-17-061522 · doc4.xml · nonDerivative · entry 1 Spriester Bart · CIK 0001633975 · SVP, Video Products 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 54,653 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 11/15/2017. These restricted stock units were initially granted to the Reporting Person on 3/14/2016, and were identified on a Form 4 filed by the Reporting Person on 3/16/2016. Read SEC document |
| August 16, 2017 Filed Aug 17, 2017 22:33 UTC | HARMONIC INC. HLIT · Entity 4789 | SaleCommon Stock | 1,740 | $3.47 | $6,044.24 |
DisclosureSEC source: 0001209191-17-049476 · doc4.xml · nonDerivative · entry 4 Spriester Bart · CIK 0001633975 · SVP, Video Products 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 50,124 F2 · kind: Represents the number of shares automatically sold to cover tax withholding obligations in connection with the vesting of restricted stock units. This sale is mandated by the Issuer's election under its 1995 Stock Plan to enable the satisfaction of tax withholding obligations with funding from a "sell to cover" transaction and does not represent a discretionary trade by the Reporting Person. F2 · shares: Represents the number of shares automatically sold to cover tax withholding obligations in connection with the vesting of restricted stock units. This sale is mandated by the Issuer's election under its 1995 Stock Plan to enable the satisfaction of tax withholding obligations with funding from a "sell to cover" transaction and does not represent a discretionary trade by the Reporting Person. Read SEC document |
| August 16, 2017 Filed Aug 17, 2017 22:33 UTC | HARMONIC INC. HLIT · Entity 4789 | SaleCommon Stock | 999 | $3.47 | $3,470.33 |
DisclosureSEC source: 0001209191-17-049476 · doc4.xml · nonDerivative · entry 2 Spriester Bart · CIK 0001633975 · SVP, Video Products 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 47,336 F2 · kind: Represents the number of shares automatically sold to cover tax withholding obligations in connection with the vesting of restricted stock units. This sale is mandated by the Issuer's election under its 1995 Stock Plan to enable the satisfaction of tax withholding obligations with funding from a "sell to cover" transaction and does not represent a discretionary trade by the Reporting Person. F2 · shares: Represents the number of shares automatically sold to cover tax withholding obligations in connection with the vesting of restricted stock units. This sale is mandated by the Issuer's election under its 1995 Stock Plan to enable the satisfaction of tax withholding obligations with funding from a "sell to cover" transaction and does not represent a discretionary trade by the Reporting Person. Read SEC document |
| August 15, 2017 Filed Aug 17, 2017 22:33 UTC | HARMONIC INC. HLIT · Entity 4789 | Exercise / conversionRestricted Stock Unit · Derivative | 4,528 | $0.00 Strike: $0.00 | $0.00 |
DisclosureSEC source: 0001209191-17-049476 · doc4.xml · derivative · entry 6 Spriester Bart · CIK 0001633975 · SVP, Video Products 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 9,056 Underlying: Common Stock · 4,528 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 |
| August 15, 2017 Filed Aug 17, 2017 22:33 UTC | HARMONIC INC. HLIT · Entity 4789 | Exercise / conversionRestricted Stock Unit · Derivative | 2,600 | $0.00 Strike: $0.00 | $0.00 |
DisclosureSEC source: 0001209191-17-049476 · doc4.xml · derivative · entry 5 Spriester Bart · CIK 0001633975 · SVP, Video Products 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 2,599 Underlying: Common Stock · 2,600 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 |
| August 15, 2017 Filed Aug 17, 2017 22:33 UTC | HARMONIC INC. HLIT · Entity 4789 | Exercise / conversionCommon Stock | 4,528 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-17-049476 · doc4.xml · nonDerivative · entry 3 Spriester Bart · CIK 0001633975 · SVP, Video Products 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 51,864 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 8/15/2017. These restricted stock units were initially granted to the Reporting Person on 3/14/2016, and were identified on a Form 4 filed by the Reporting Person on 3/16/2016. Read SEC document |
| August 15, 2017 Filed Aug 17, 2017 22:33 UTC | HARMONIC INC. HLIT · Entity 4789 | Exercise / conversionCommon Stock | 2,600 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-17-049476 · doc4.xml · nonDerivative · entry 1 Spriester Bart · CIK 0001633975 · SVP, Video Products 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 48,335 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 8/15/2017. These restricted stock units were initially granted to the Reporting Person on 3/13/2015, and were identified on a Form 4 filed by the Reporting Person on 3/17/2015. Read SEC document |
| May 15, 2017 Filed May 17, 2017 19:31 UTC | HARMONIC INC. HLIT · Entity 4789 | Exercise / conversionRestricted Stock Unit · Derivative | 4,527 | $0.00 Strike: $0.00 | $0.00 |
DisclosureSEC source: 0001209191-17-033015 · doc4.xml · derivative · entry 3 Spriester Bart · CIK 0001633975 · SVP, Video Products 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 13,584 Underlying: Common Stock · 4,527 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 |
| May 15, 2017 Filed May 17, 2017 19:31 UTC | HARMONIC INC. HLIT · Entity 4789 | Tax withholdingCommon Stock | 1,701 | $5.20 | $8,845.20 |
DisclosureSEC source: 0001209191-17-033015 · doc4.xml · nonDerivative · entry 2 Spriester Bart · CIK 0001633975 · SVP, Video Products 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 45,735 F2 · shares: Shares of Harmonic Inc. common stock withheld by Harmonic Inc. to satisfy tax withholding obligation upon vesting of restricted stock units. Read SEC document |
| May 15, 2017 Filed May 17, 2017 19:31 UTC | HARMONIC INC. HLIT · Entity 4789 | Exercise / conversionCommon Stock | 4,527 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-17-033015 · doc4.xml · nonDerivative · entry 1 Spriester Bart · CIK 0001633975 · SVP, Video Products 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 47,436 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 5/15/2017. These restricted stock units were initially granted to the Reporting Person on 3/14/2016, and were identified on a Form 4 filed by the Reporting Person on 3/16/2016. Read SEC document |
| March 20, 2017 Filed Mar 22, 2017 22:14 UTC | HARMONIC INC. HLIT · Entity 4789 | GrantPerformance Restricted Stock Units · Derivative | 25,500 | $0.00 Strike: $0.00 | $0.00 |
DisclosureSEC source: 0001209191-17-022412 · doc4.xml · derivative · entry 2 Spriester Bart · CIK 0001633975 · SVP, Video Products 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 25,500 Underlying: Common Stock · 25,500 shares Expires 2020-03-15 F3 · security: Each performance restricted stock unit, or PRSU, represents a contingent right to receive one share of HLIT common stock. F4 · derivative.exercise_date: If the closing price of HLIT's common stock, as quoted on the NASDAQ Stock Market, equals or exceeds certain stock price thresholds for at least 20 consecutive trading days (the "Minimum Trading Period"), then 25% of the PRSUs will vest on the final day of the Minimum Trading Period. If the stock price threshold for which the Minimum Trading Period has been satisfied exceeds one or more other stock price thresholds for which the PRSU award has not already vested, then the vesting associated with all such stock price thresholds shall occur as of the close of market on the final day of the Minimum Trading Period. Read SEC document |
| March 20, 2017 Filed Mar 22, 2017 22:14 UTC | HARMONIC INC. HLIT · Entity 4789 | GrantRestricted Stock Units · Derivative | 59,500 | $0.00 Strike: $0.00 | $0.00 |
DisclosureSEC source: 0001209191-17-022412 · doc4.xml · derivative · entry 1 Spriester Bart · CIK 0001633975 · SVP, Video Products 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 59,500 Underlying: Common Stock · 59,500 shares Expires 2020-02-15 F1 · security: Each restricted stock unit represents a contingent right to receive one share of HLIT common stock. F2 · derivative.exercise_date: One-third of the RSUs vest on February 15, 2018 and the remaining RSUs vest in eight equal quarterly installments thereafter. Read SEC document |
| March 02, 2017 Filed Mar 3, 2017 23:45 UTC | HARMONIC INC. HLIT · Entity 4789 | SaleCommon Stock | 15,522 | $5.85 | $90,803.70 |
DisclosureSEC source: 0001209191-17-018012 · doc4.xml · nonDerivative · entry 3 Spriester Bart · CIK 0001633975 · SVP, Video Products 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 42,909 Read SEC document |
| March 01, 2017 Filed Mar 3, 2017 23:45 UTC | HARMONIC INC. HLIT · Entity 4789 | Exercise / conversionRestricted Stock Unit · Derivative | 12,621 | $0.00 Strike: $0.00 | $0.00 |
DisclosureSEC source: 0001209191-17-018012 · doc4.xml · derivative · entry 4 Spriester Bart · CIK 0001633975 · SVP, Video Products 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 12,621 shares Expires 2017-03-01 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 |
| March 01, 2017 Filed Mar 3, 2017 23:45 UTC | HARMONIC INC. HLIT · Entity 4789 | Tax withholdingCommon Stock | 4,692 | $5.90 | $27,682.80 |
DisclosureSEC source: 0001209191-17-018012 · doc4.xml · nonDerivative · entry 2 Spriester Bart · CIK 0001633975 · SVP, Video Products 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 58,431 F2 · shares: Shares of Harmonic Inc. common stock withheld by Harmonic Inc. to satisfy tax withholding obligation upon vesting of restricted stock units. Read SEC document |
| March 01, 2017 Filed Mar 3, 2017 23:45 UTC | HARMONIC INC. HLIT · Entity 4789 | Exercise / conversionCommon Stock | 12,621 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-17-018012 · doc4.xml · nonDerivative · entry 1 Spriester Bart · CIK 0001633975 · SVP, Video Products 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 63,123 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 3/1/2017. These performance-based restricted stock units were initially granted to the Reporting Person on 8/19/2016, and were identified on a Form 4 filed by the Reporting Person on 8/23/2016. Read SEC document |
| February 15, 2017 Filed Feb 17, 2017 21:40 UTC | HARMONIC INC. HLIT · Entity 4789 | Exercise / conversionRestricted Stock · Derivative | 18,111 | $0.00 Strike: $0.00 | $0.00 |
DisclosureSEC source: 0001209191-17-012170 · doc4.xml · derivative · entry 6 Spriester Bart · CIK 0001633975 · SVP, Video Products 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 18,111 Underlying: Common Stock · 18,111 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, 2017 Filed Feb 17, 2017 21:40 UTC | HARMONIC INC. HLIT · Entity 4789 | Exercise / conversionRestricted Stock Unit · Derivative | 2,600 | $0.00 Strike: $0.00 | $0.00 |
DisclosureSEC source: 0001209191-17-012170 · doc4.xml · derivative · entry 5 Spriester Bart · CIK 0001633975 · SVP, Video Products 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 5,199 Underlying: Common Stock · 2,600 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, 2017 Filed Feb 17, 2017 21:40 UTC | HARMONIC INC. HLIT · Entity 4789 | Tax withholdingCommon Stock | 7,546 | $5.70 | $43,012.20 |
DisclosureSEC source: 0001209191-17-012170 · doc4.xml · nonDerivative · entry 4 Spriester Bart · CIK 0001633975 · SVP, Video Products 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 50,502 F2 · shares: Shares of Harmonic Inc. common stock withheld by Harmonic Inc. to satisfy tax withholding obligation upon vesting of restricted stock units. Read SEC document |
| February 15, 2017 Filed Feb 17, 2017 21:40 UTC | HARMONIC INC. HLIT · Entity 4789 | Exercise / conversionCommon Stock | 18,111 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-17-012170 · doc4.xml · nonDerivative · entry 3 Spriester Bart · CIK 0001633975 · SVP, Video Products 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 58,048 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 2/15/2017. These restricted stock units were initially granted to the Reporting Person on 3/14/2016, and were identified on a Form 4 filed by the Reporting Person on 3/16/2016. Read SEC document |
| February 15, 2017 Filed Feb 17, 2017 21:40 UTC | HARMONIC INC. HLIT · Entity 4789 | Tax withholdingCommon Stock | 1,134 | $5.70 | $6,463.80 |
DisclosureSEC source: 0001209191-17-012170 · doc4.xml · nonDerivative · entry 2 Spriester Bart · CIK 0001633975 · SVP, Video Products 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 39,937 F2 · shares: Shares of Harmonic Inc. common stock withheld by Harmonic Inc. to satisfy tax withholding obligation upon vesting of restricted stock units. Read SEC document |
| February 15, 2017 Filed Feb 17, 2017 21:40 UTC | HARMONIC INC. HLIT · Entity 4789 | Exercise / conversionCommon Stock | 2,600 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-17-012170 · doc4.xml · nonDerivative · entry 1 Spriester Bart · CIK 0001633975 · SVP, Video Products 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 41,071 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 2/15/2017. These restricted stock units were initially granted to the Reporting Person on 3/13/2015, and were identified on a Form 4 filed by the Reporting Person on 3/17/2015. Read SEC document |
| November 15, 2016 Filed Nov 18, 2016 01:17 UTC | HARMONIC INC. HLIT · Entity 4789 | Exercise / conversionRestricted Stock Unit · Derivative | 2,895 | $0.00 Strike: $0.00 | $0.00 |
DisclosureSEC source: 0001209191-16-151046 · doc4.xml · derivative · entry 3 Spriester Bart · CIK 0001633975 · SVP, Video Products 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 18,334 Underlying: Common Stock · 2,895 shares Expires 2017-03-01 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 |
| November 15, 2016 Filed Nov 18, 2016 01:17 UTC | HARMONIC INC. HLIT · Entity 4789 | Tax withholdingCommon Stock | 1,087 | $4.60 | $5,000.20 |
DisclosureSEC source: 0001209191-16-151046 · doc4.xml · nonDerivative · entry 2 Spriester Bart · CIK 0001633975 · SVP, Video Products 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 38,471 F2 · shares: Shares of Harmonic Inc. common stock withheld by Harmonic Inc. to satisfy tax withholding obligation upon vesting of restricted stock units. Read SEC document |
| November 15, 2016 Filed Nov 18, 2016 01:17 UTC | HARMONIC INC. HLIT · Entity 4789 | Exercise / conversionCommon Stock | 2,895 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-16-151046 · doc4.xml · nonDerivative · entry 1 Spriester Bart · CIK 0001633975 · SVP, Video Products 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 39,554 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 11/15/2016. These restricted stock units were initially granted to the Reporting Person on 8/19/2016, and were identified on a Form 4 filed by the Reporting Person on 8/23/2016. Read SEC document |
| September 02, 2016 Filed Sep 7, 2016 16:09 UTC | HARMONIC INC. HLIT · Entity 4789 | Exercise / conversionRestricted Stock Units · Derivative | 25,000 | $0.00 Strike: $0.00 | $0.00 |
DisclosureSEC source: 0001209191-16-140365 · doc4.xml · derivative · entry 3 Spriester Bart · CIK 0001633975 · SVP, Video Products 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 25,000 shares Expires 2016-09-02 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 · derivative.exercise_date: These shares of common stock were acquired upon the vesting of restricted stock units on September 2, 2016. These restricted stock units were initially granted to the Reporting Person on September 6, 2014, and were identified on a Form 3 filed by the Reporting Person on February 4, 2015. Read SEC document |
| September 02, 2016 Filed Sep 7, 2016 16:09 UTC | HARMONIC INC. HLIT · Entity 4789 | Tax withholdingCommon Stock | 9,395 | $5.10 | $47,914.50 |
DisclosureSEC source: 0001209191-16-140365 · doc4.xml · nonDerivative · entry 2 Spriester Bart · CIK 0001633975 · SVP, Video Products 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 36,663 Read SEC document |
| September 02, 2016 Filed Sep 7, 2016 16:09 UTC | HARMONIC INC. HLIT · Entity 4789 | Exercise / conversionCommon Stock | 25,000 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-16-140365 · doc4.xml · nonDerivative · entry 1 Spriester Bart · CIK 0001633975 · SVP, Video Products 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 46,058 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 |
Value uses the disclosed total when available, otherwise shares × reported transaction price. It is not an estimate of exercise cash cost or investment performance.