Reported relationships
Latest disclosed role at each company.
| Company | Last reported as | Report date | Published |
|---|---|---|---|
| HARMONIC INC.HLIT · Entity 4789 | Chief Financial Officer | May 17, 2017 | May 18, 2017 |
| Lumentum Holdings Inc.LITE · Entity 2957 | Director | November 22, 2024 | November 27, 2024 |
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 May 17, 2017 · Filed May 18, 2017
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | Direct | 0 |
Ending reported balance
After 2017-05-17 transaction · row 3
3 source rows · reconciled sequenceRow 1 · 2017-05-17 · Exercise / conversion · Acquired 864 · Balance 1,679 F1: These shares of common stock were acquired upon the exercise of stock options on 5/17/2017. These options 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. Row 2 · 2017-05-17 · Sale · Disposed 864 · Balance 815 Row 3 · 2017-05-17 · Sale · Disposed 815 · Balance 0 |
| Stock Option/Right to BuySEC Table II · derivative / convertible security · Conversion / exercise price $3.14 · Expires 2023-03-14 | Direct | 18,150 |
Reported balance
After 2017-05-17 transaction · row 4
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 4 · 2017-05-17 · Exercise / conversion · Disposed 864 · Balance 18,150 |
Filing footnotes · ownership attribution and instrument terms
F1: These shares of common stock were acquired upon the exercise of stock options on 5/17/2017. These options 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.
Lumentum Holdings Inc.
Report date November 22, 2024 · Filed November 27, 2024
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | Direct | 3,313 |
Reported balance
After 2024-11-22 transaction · row 1
1 source rowRow 1 · 2024-11-22 · Sale · Disposed 5,416 · Balance 3,313 |
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 22, 2024 Filed Nov 27, 2024 00:55 UTC | Lumentum Holdings Inc. LITE · Entity 2957 | SaleCommon Stock | 5,416 | $88.11 | $477,211.34 |
DisclosureSEC source: 0001415889-24-027792 · form4-11272024_121117.xml · nonDerivative · entry 1 COVERT HAROLD L · CIK 0001229072 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 3,313 Read SEC document |
| November 20, 2024 Filed Nov 23, 2024 00:01 UTC | Lumentum Holdings Inc. LITE · Entity 2957 | SaleCommon Stock | 3,345 | $81.78 | $273,554.10 |
DisclosureSEC source: 0001415889-24-027580 · form4-11232024_121142.xml · nonDerivative · entry 2 COVERT HAROLD L · CIK 0001229072 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 8,729 Read SEC document |
| November 20, 2024 Filed Nov 23, 2024 00:01 UTC | Lumentum Holdings Inc. LITE · Entity 2957 | GrantCommon Stock | 3,313 | $0.00 | $0.00 |
DisclosureSEC source: 0001415889-24-027580 · form4-11232024_121142.xml · nonDerivative · entry 1 COVERT HAROLD L · CIK 0001229072 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 12,074 F1 · shares: Each share is represented by a restricted stock unit (RSU). Each RSU represents the contingent right to receive, following vesting, one share of Common Stock of the Issuer. 100% of the RSUs shall vest on the earlier of November 20, 2025 or the day prior to the the date of the Issuer's next annual meeting of stockholders, subject to the Reporting Person continuing through such date as a Service Provider, as defined under the Issuer's 2015 Equity Incentive Plan. Read SEC document |
| November 12, 2024 Filed Nov 15, 2024 00:33 UTC | Lumentum Holdings Inc. LITE · Entity 2957 | SaleCommon Stock | 15,000 | $87.17 | $1,307,542.50 |
DisclosureSEC source: 0001415889-24-026902 · form4-11152024_121122.xml · nonDerivative · entry 1 COVERT HAROLD L · CIK 0001229072 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 8,761 F1 · price: These sales were executed in multiple trades at prices ranging from $87.02 to $87.40. The price reported above reflects the weighted average sale price. The Reporting Person hereby undertakes to provide full information regarding the number of shares and prices at which these sales were effected, upon request, to the staff of the Securities and Exchange Commission, the Issuer or a security holder of the Issuer. Read SEC document |
| November 17, 2023 Filed Nov 21, 2023 23:52 UTC | Lumentum Holdings Inc. LITE · Entity 2957 | GrantCommon Stock | 5,416 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-23-056373 · doc4.xml · nonDerivative · entry 1 COVERT HAROLD L · CIK 0001229072 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 23,761 F1 · shares: Each share is represented by a restricted stock unit (RSU). Each RSU represents the contingent right to receive, following vesting, one share of Common Stock of the Issuer. 100% of the RSUs shall vest on the earlier of November 17, 2024 or the day prior to the the date of the Issuer's next annual meeting of stockholders, subject to the Reporting Person continuing through such date as a Service Provider, as defined under the Issuer's 2015 Equity Incentive Plan. Read SEC document |
| November 16, 2022 Filed Nov 17, 2022 00:55 UTC | Lumentum Holdings Inc. LITE · Entity 2957 | GrantCommon Stock | 3,061 | $0.00 | $0.00 |
DisclosureSEC source: 0001633978-22-000045 · wf-form4_166864652412408.xml · nonDerivative · entry 1 COVERT HAROLD L · CIK 0001229072 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 18,345 F1 · kind: Each share is represented by a restricted stock unit (RSU). Each RSU represents the contingent right to receive, following vesting, one share of Common Stock of the Issuer. 100% of the RSUs shall vest on the earlier of one year from the grant date or the day prior to the date of the Issuer's next annual meeting of stockholders, subject to the Reporting Person continuing through such date as a Service Provider, as defined under the Issuer's 2015 Equity Incentive Plan. Read SEC document |
| November 19, 2021 Filed Nov 22, 2021 22:08 UTC | Lumentum Holdings Inc. LITE · Entity 2957 | GrantCommon Stock | 2,618 | $0.00 | $0.00 |
DisclosureSEC source: 0001633978-21-000084 · wf-form4_163761886926230.xml · nonDerivative · entry 1 COVERT HAROLD L · CIK 0001229072 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 15,284 F1 · kind: Each share is represented by a restricted stock unit (RSU). Each RSU represents the contingent right to receive, following vesting, one share of Common Stock of the Issuer. 100% of the RSUs shall vest on the earlier of November 19, 2022 or the day prior to the the date of the Issuer's next annual meeting of stockholders, subject to the Reporting Person continuing through such date as a Service Provider, as defined under the Issuer's 2015 Equity Incentive Plan. Read SEC document |
| November 19, 2020 Filed Nov 21, 2020 01:10 UTC | Lumentum Holdings Inc. LITE · Entity 2957 | GrantCommon Stock | 2,666 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-20-059831 · doc4.xml · nonDerivative · entry 1 COVERT HAROLD L · CIK 0001229072 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 12,666 F1 · shares: Each share is represented by a restricted stock unit (RSU). Each RSU represents the contingent right to receive, following vesting, one share of Common Stock of the Issuer. 100% of the RSUs shall vest on the earlier of November 19, 2021 or the day prior to the the date of the Issuer's next annual meeting of stockholders, subject to the Reporting Person continuing through such date as a Service Provider, as defined under the Issuer's 2015 Equity Incentive Plan. Read SEC document |
| November 09, 2020 Filed Nov 9, 2020 21:06 UTC | Lumentum Holdings Inc. LITE · Entity 2957 | SaleCommon Stock | 4,064 | $90.75 | $368,808.00 |
DisclosureSEC source: 0001209191-20-057436 · doc4.xml · nonDerivative · entry 1 COVERT HAROLD L · CIK 0001229072 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 10,000 Read SEC document |
| August 17, 2020 Filed Aug 17, 2020 23:24 UTC | Lumentum Holdings Inc. LITE · Entity 2957 | SaleCommon Stock | 10,000 | $91.60 | $915,987.00 |
DisclosureSEC source: 0001209191-20-047010 · doc4.xml · nonDerivative · entry 1 COVERT HAROLD L · CIK 0001229072 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 14,064 F1 · price: These sales were executed in multiple trades at prices ranging from $91.56 to $91.80. The price reported above reflects the weighted average sale price. The Reporting Person hereby undertakes to provide full information regarding the number of shares and prices at which these sales were effected, upon request, to the staff of the Securities and Exchange Commission, the Issuer or a security holder of the Issuer. Read SEC document |
| November 14, 2019 Filed Nov 19, 2019 02:12 UTC | Lumentum Holdings Inc. LITE · Entity 2957 | GrantCommon Stock | 4,064 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-19-057055 · doc4.xml · nonDerivative · entry 1 COVERT HAROLD L · CIK 0001229072 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 24,064 F1 · shares: Each share is represented by a restricted stock unit (RSU). Each RSU represents the contingent right to receive, following vesting, one share of Common Stock of the Issuer. 100% of the RSUs shall vest on the one-year anniversary of the grant date, subject to the Reporting Person continuing through such date as a Service Provider, as defined under the Issuer's 2015 Equity Incentive Plan. Read SEC document |
| February 14, 2019 Filed Feb 15, 2019 23:23 UTC | Lumentum Holdings Inc. LITE · Entity 2957 | SaleCommon Stock | 3,017 | $46.01 | $138,812.17 |
DisclosureSEC source: 0001633978-19-000011 · edgar.xml · nonDerivative · entry 1 COVERT HAROLD L · CIK 0001229072 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 20,000 Read SEC document |
| November 09, 2018 Filed Nov 10, 2018 01:07 UTC | Lumentum Holdings Inc. LITE · Entity 2957 | GrantCommon Stock | 3,017 | $0.00 | $0.00 |
DisclosureSEC source: 0001633978-18-000131 · edgar.xml · nonDerivative · entry 1 COVERT HAROLD L · CIK 0001229072 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 23,017 F1 · shares: Each restricted stock unit (RSU) represents the contingent right to receive, following vesting, one share of Common Stock of Lumentum Holdings. 100% of the shares shall vest on the one (1) year anniversary of the grant date, subject to the Participant continuing through such date to be a Service Provider as defined under the Issuer's 2015 Equity Incentive Plan. Read SEC document |
| August 15, 2018 Filed Aug 17, 2018 00:00 UTC | Lumentum Holdings Inc. LITE · Entity 2957 | Exercise / conversionRestricted Stock Units · Derivative | 3,282 | $0.00 Strike: $0.00 | $0.00 |
DisclosureSEC source: 0001633978-18-000070 · edgar.xml · derivative · entry 2 COVERT HAROLD L · CIK 0001229072 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 3,282 shares Expires not disclosed 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.expiration_date: Restricted Stock Units have no expiration date. Read SEC document |
| August 15, 2018 Filed Aug 17, 2018 00:00 UTC | Lumentum Holdings Inc. LITE · Entity 2957 | Exercise / conversionCommon Stock | 3,282 | $0.00 | $0.00 |
DisclosureSEC source: 0001633978-18-000070 · edgar.xml · nonDerivative · entry 1 COVERT HAROLD L · CIK 0001229072 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 20,000 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 09, 2018 Filed Feb 13, 2018 19:08 UTC | Lumentum Holdings Inc. LITE · Entity 2957 | SaleCommon Stock | 4,900 | $56.60 | $277,340.00 |
DisclosureSEC source: 0001633978-18-000006 · wf-form4_151854891047063.xml · nonDerivative · entry 2 COVERT HAROLD L · CIK 0001229072 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 16,718 Read SEC document |
| February 09, 2018 Filed Feb 13, 2018 19:08 UTC | Lumentum Holdings Inc. LITE · Entity 2957 | SaleCommon Stock | 2,664 | $56.56 | $150,662.52 |
DisclosureSEC source: 0001633978-18-000006 · wf-form4_151854891047063.xml · nonDerivative · entry 1 COVERT HAROLD L · CIK 0001229072 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 21,618 Read SEC document |
| December 08, 2017 Filed Dec 11, 2017 23:45 UTC | Lumentum Holdings Inc. LITE · Entity 2957 | Exercise / conversionCommon Stock · Derivative | 2,055 | $0.00 Strike: $0.00 | $0.00 |
DisclosureSEC source: 0001633978-17-000161 · wf-form4_151303590273084.xml · derivative · entry 2 COVERT HAROLD L · CIK 0001229072 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 2,055 shares Expires not disclosed 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.expiration_date: Restricted Stock Units have no expiration date. Read SEC document |
| December 08, 2017 Filed Dec 11, 2017 23:45 UTC | Lumentum Holdings Inc. LITE · Entity 2957 | Exercise / conversionCommon Stock | 2,055 | $0.00 | $0.00 |
DisclosureSEC source: 0001633978-17-000161 · wf-form4_151303590273084.xml · nonDerivative · entry 1 COVERT HAROLD L · CIK 0001229072 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 24,282 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 02, 2017 Filed Nov 3, 2017 22:28 UTC | Lumentum Holdings Inc. LITE · Entity 2957 | GrantCommon Stock | 2,992 | $0.00 | $0.00 |
DisclosureSEC source: 0001633978-17-000121 · wf-form4_150974810860034.xml · nonDerivative · entry 1 COVERT HAROLD L · CIK 0001229072 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 22,227 F1 · shares: Each Restricted Stock Unit represents a contingent right to receive one share of common Stock of Lumentum Holding Inc. F2 · shares: Award will vest upon the earlier of (i) the day prior to the next year's annual meeting of stockholders or (ii) one year from grant, subject to continued service as a director through the applicable vesting date. Read SEC document |
| August 15, 2017 Filed Aug 18, 2017 01:12 UTC | Lumentum Holdings Inc. LITE · Entity 2957 | Exercise / conversionRestricted Stock Units · Derivative | 3,282 | $0.00 Strike: $0.00 | $0.00 |
DisclosureSEC source: 0001633978-17-000060 · wf-form4_150301873320633.xml · derivative · entry 2 COVERT HAROLD L · CIK 0001229072 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 3,282 Underlying: Common Stock · 3,282 shares Expires not disclosed 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.expiration_date: Restricted Stock Units have no expiration date. Read SEC document |
| August 15, 2017 Filed Aug 18, 2017 01:12 UTC | Lumentum Holdings Inc. LITE · Entity 2957 | Exercise / conversionCommon Stock | 3,282 | $0.00 | $0.00 |
DisclosureSEC source: 0001633978-17-000060 · wf-form4_150301873320633.xml · nonDerivative · entry 1 COVERT HAROLD L · CIK 0001229072 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 19,235 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 17, 2017 Filed May 18, 2017 21:36 UTC | HARMONIC INC. HLIT · Entity 4789 | Exercise / conversionStock Option/Right to Buy · Derivative | 864 | $3.14 Strike: $3.14 | $2,712.96 |
DisclosureSEC source: 0001209191-17-033680 · doc4.xml · derivative · entry 4 COVERT HAROLD L · CIK 0001229072 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 18,150 Underlying: Common Stock · 864 shares Expires 2023-03-14 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 17, 2017 Filed May 18, 2017 21:36 UTC | HARMONIC INC. HLIT · Entity 4789 | SaleCommon Stock | 815 | $5.00 | $4,075.00 |
DisclosureSEC source: 0001209191-17-033680 · doc4.xml · nonDerivative · entry 3 COVERT HAROLD L · CIK 0001229072 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Read SEC document |
| May 17, 2017 Filed May 18, 2017 21:36 UTC | HARMONIC INC. HLIT · Entity 4789 | SaleCommon Stock | 864 | $5.00 | $4,320.00 |
DisclosureSEC source: 0001209191-17-033680 · doc4.xml · nonDerivative · entry 2 COVERT HAROLD L · CIK 0001229072 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 815 Read SEC document |
| May 17, 2017 Filed May 18, 2017 21:36 UTC | HARMONIC INC. HLIT · Entity 4789 | Exercise / conversionCommon Stock | 864 | $3.14 | $2,712.96 |
DisclosureSEC source: 0001209191-17-033680 · doc4.xml · nonDerivative · entry 1 COVERT HAROLD L · CIK 0001229072 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,679 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 exercise of stock options on 5/17/2017. These options 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 |
| May 15, 2017 Filed May 17, 2017 19:35 UTC | HARMONIC INC. HLIT · Entity 4789 | Exercise / conversionRestricted Stock Unit · Derivative | 1,305 | $0.00 Strike: $0.00 | $0.00 |
DisclosureSEC source: 0001209191-17-033019 · doc4.xml · derivative · entry 3 COVERT HAROLD L · CIK 0001229072 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 3,917 Underlying: Common Stock · 1,305 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 19:35 UTC | HARMONIC INC. HLIT · Entity 4789 | Tax withholdingCommon Stock | 490 | $5.20 | $2,548.00 |
DisclosureSEC source: 0001209191-17-033019 · doc4.xml · nonDerivative · entry 2 COVERT HAROLD L · CIK 0001229072 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 815 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 19:35 UTC | HARMONIC INC. HLIT · Entity 4789 | Exercise / conversionCommon Stock | 1,305 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-17-033019 · doc4.xml · nonDerivative · entry 1 COVERT HAROLD L · CIK 0001229072 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,305 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 |
| May 11, 2017 Filed May 15, 2017 15:42 UTC | HARMONIC INC. HLIT · Entity 4789 | Exercise / conversionStock Option/Right to Buy · Derivative | 1,728 | $3.14 Strike: $3.14 | $5,425.92 |
DisclosureSEC source: 0001209191-17-032245 · doc4.xml · derivative · entry 4 COVERT HAROLD L · CIK 0001229072 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 19,014 Underlying: Common Stock · 1,728 shares Expires 2023-03-14 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 11, 2017 Filed May 15, 2017 15:42 UTC | HARMONIC INC. HLIT · Entity 4789 | SaleCommon Stock | 1,728 | $5.15 | $8,899.20 |
DisclosureSEC source: 0001209191-17-032245 · doc4.xml · nonDerivative · entry 3 COVERT HAROLD L · CIK 0001229072 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Read SEC document |
| May 11, 2017 Filed May 15, 2017 15:42 UTC | HARMONIC INC. HLIT · Entity 4789 | Exercise / conversionCommon Stock | 1,728 | $3.14 | $5,425.92 |
DisclosureSEC source: 0001209191-17-032245 · doc4.xml · nonDerivative · entry 2 COVERT HAROLD L · CIK 0001229072 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,728 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 exercise of stock options on 5/11/2017. These options 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 |
| May 11, 2017 Filed May 15, 2017 15:42 UTC | HARMONIC INC. HLIT · Entity 4789 | SaleCommon Stock | 11,444 | $5.14 | $58,856.49 |
DisclosureSEC source: 0001209191-17-032245 · doc4.xml · nonDerivative · entry 1 COVERT HAROLD L · CIK 0001229072 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Read SEC document |
| April 27, 2017 Filed Apr 28, 2017 15:55 UTC | HARMONIC INC. HLIT · Entity 4789 | Exercise / conversionRestricted Stock Unit · Derivative | 18,333 | $0.00 Strike: $0.00 | $0.00 |
DisclosureSEC source: 0001209191-17-028552 · doc4.xml · derivative · entry 3 COVERT HAROLD L · CIK 0001229072 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 55,001 shares Expires 2018-10-27 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 |
| April 27, 2017 Filed Apr 28, 2017 15:55 UTC | HARMONIC INC. HLIT · Entity 4789 | Tax withholdingCommon Stock | 6,889 | $5.70 | $39,267.30 |
DisclosureSEC source: 0001209191-17-028552 · doc4.xml · nonDerivative · entry 2 COVERT HAROLD L · CIK 0001229072 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 11,444 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 |
| April 27, 2017 Filed Apr 28, 2017 15:55 UTC | HARMONIC INC. HLIT · Entity 4789 | Exercise / conversionCommon Stock | 18,333 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-17-028552 · doc4.xml · nonDerivative · entry 1 COVERT HAROLD L · CIK 0001229072 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 18,333 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 4/27/2017. These restricted stock units were initially granted to the Reporting Person on 11/2/2015, and were identified on a Form 4 filed by the Reporting Person on 11/3/2015. Read SEC document |
| March 03, 2017 Filed Mar 3, 2017 23:39 UTC | HARMONIC INC. HLIT · Entity 4789 | SaleCommon Stock | 11,709 | $5.68 | $66,488.39 |
DisclosureSEC source: 0001209191-17-018006 · doc4.xml · nonDerivative · entry 7 COVERT HAROLD L · CIK 0001229072 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Read SEC document |
| March 03, 2017 Filed Mar 3, 2017 23:39 UTC | HARMONIC INC. HLIT · Entity 4789 | SaleCommon Stock | 10,000 | $5.72 | $57,215.00 |
DisclosureSEC source: 0001209191-17-018006 · doc4.xml · nonDerivative · entry 6 COVERT HAROLD L · CIK 0001229072 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 11,709 Read SEC document |
| March 02, 2017 Filed Mar 3, 2017 23:39 UTC | HARMONIC INC. HLIT · Entity 4789 | Exercise / conversionStock Option/Right to buy · Derivative | 10,369 | $3.14 Strike: $3.14 | $32,558.66 |
DisclosureSEC source: 0001209191-17-018006 · doc4.xml · derivative · entry 9 COVERT HAROLD L · CIK 0001229072 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 20,742 Underlying: Common Stock · 10,369 shares Expires 2023-03-14 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 · derivative.exercise_date: These shares of common stock were acquired upon the exercise of stock options on 3/2/2017. These options 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 02, 2017 Filed Mar 3, 2017 23:39 UTC | HARMONIC INC. HLIT · Entity 4789 | SaleCommon Stock | 104,631 | $5.72 | $598,761.36 |
DisclosureSEC source: 0001209191-17-018006 · doc4.xml · nonDerivative · entry 5 COVERT HAROLD L · CIK 0001229072 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 21,709 Read SEC document |
| March 02, 2017 Filed Mar 3, 2017 23:39 UTC | HARMONIC INC. HLIT · Entity 4789 | SaleCommon Stock | 10,369 | $5.72 | $59,276.46 |
DisclosureSEC source: 0001209191-17-018006 · doc4.xml · nonDerivative · entry 4 COVERT HAROLD L · CIK 0001229072 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 126,340 Read SEC document |
| March 02, 2017 Filed Mar 3, 2017 23:39 UTC | HARMONIC INC. HLIT · Entity 4789 | Exercise / conversionCommon Stock | 10,369 | $3.14 | $32,558.66 |
DisclosureSEC source: 0001209191-17-018006 · doc4.xml · nonDerivative · entry 3 COVERT HAROLD L · CIK 0001229072 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 136,709 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 exercise of stock options on 3/2/2017. These options 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 01, 2017 Filed Mar 3, 2017 23:39 UTC | HARMONIC INC. HLIT · Entity 4789 | Exercise / conversionRestricted Stock Unit · Derivative | 19,689 | $0.00 Strike: $0.00 | $0.00 |
DisclosureSEC source: 0001209191-17-018006 · doc4.xml · derivative · entry 8 COVERT HAROLD L · CIK 0001229072 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 19,689 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 23:39 UTC | HARMONIC INC. HLIT · Entity 4789 | Tax withholdingCommon Stock | 7,639 | $5.90 | $45,070.10 |
DisclosureSEC source: 0001209191-17-018006 · doc4.xml · nonDerivative · entry 2 COVERT HAROLD L · CIK 0001229072 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 126,340 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 23:39 UTC | HARMONIC INC. HLIT · Entity 4789 | Exercise / conversionCommon Stock | 19,689 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-17-018006 · doc4.xml · nonDerivative · entry 1 COVERT HAROLD L · CIK 0001229072 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 133,979 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 21:34 UTC | HARMONIC INC. HLIT · Entity 4789 | Exercise / conversionRestricted Stock Unit · Derivative | 5,222 | $0.00 Strike: $0.00 | $0.00 |
DisclosureSEC source: 0001209191-17-012129 · doc4.xml · derivative · entry 3 COVERT HAROLD L · CIK 0001229072 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 5,222 Underlying: Common Stock · 5,222 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 21:34 UTC | HARMONIC INC. HLIT · Entity 4789 | Tax withholdingCommon Stock | 2,278 | $5.70 | $12,984.60 |
DisclosureSEC source: 0001209191-17-012129 · doc4.xml · nonDerivative · entry 2 COVERT HAROLD L · CIK 0001229072 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 114,290 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 21:34 UTC | HARMONIC INC. HLIT · Entity 4789 | Exercise / conversionCommon | 5,222 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-17-012129 · doc4.xml · nonDerivative · entry 1 COVERT HAROLD L · CIK 0001229072 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 116,568 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 3/14/2016, and were identified on a Form 4 filed by the Reporting Person on 3/16/2016. Read SEC document |
| February 10, 2017 Filed Feb 13, 2017 23:13 UTC | Lumentum Holdings Inc. LITE · Entity 2957 | SaleCommon Stock | 12,000 | $47.09 | $565,028.40 |
DisclosureSEC source: 0001633978-17-000011 · wf-form4_148702760110388.xml · nonDerivative · entry 1 COVERT HAROLD L · CIK 0001229072 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 15,953 F1 · price: The price is the weighted average sale price for the transactions reported on this line. The prices for the transactions reported on this line range from $46-925 to $47.35. The reporting person undertakes to provide, upon request by the staff of the Securities and Exchange Commission, the issuer, or a security holder of the issuer, full information regarding the number of shares sold at each separate price. Read SEC document |
| December 15, 2016 Filed Dec 17, 2016 00:33 UTC | Lumentum Holdings Inc. LITE · Entity 2957 | Exercise / conversionRestricted Stock Units · Derivative | 9,869 | $0.00 Strike: $0.00 | $0.00 |
DisclosureSEC source: 0001633978-16-000146 · wf-form4_148193474527689.xml · derivative · entry 2 COVERT HAROLD L · CIK 0001229072 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 9,869 shares Expires not disclosed 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 · derivative.expiration_date: Restricted Stock Units have no expiration date. 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.