Reported relationships
Latest disclosed role at each company.
| Company | Last reported as | Report date | Published |
|---|---|---|---|
| HARMONIC INC.HLIT · Entity 4789 | Director · President and CEO | May 15, 2024 | May 17, 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 15, 2024 · Filed May 17, 2024
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | Direct | 792,598 |
Ending reported balance
After 2024-05-15 transaction · row 2
2 source rows · reconciled sequenceRow 1 · 2024-05-15 · Exercise / conversion · Acquired 26,160 · Balance 806,553 Row 2 · 2024-05-15 · Tax withholding · Disposed 13,955 · Balance 792,598 |
| Restricted Stock UnitsSEC Table II · derivative / convertible security · Conversion / exercise price $0.00 · Expires 2025-02-15 | Direct | 41,051 |
Reported balance
After 2024-05-15 transaction · row 3
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 3 · 2024-05-15 · Exercise / conversion · Disposed 13,684 · Balance 41,051 F1: Each restricted stock unit represents a contingent right to receive one share of HLIT common stock. |
| Restricted Stock UnitsSEC Table II · derivative / convertible security · Conversion / exercise price $0.00 · Expires 2026-02-15 | Direct | 87,338 |
Reported balance
After 2024-05-15 transaction · row 4
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 4 · 2024-05-15 · Exercise / conversion · Disposed 12,476 · Balance 87,338 F1: Each restricted stock unit represents a contingent right to receive one share of HLIT common stock. |
Filing footnotes · ownership attribution and instrument terms
F1: Each restricted stock unit represents a contingent right to receive one share of HLIT common stock.
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 |
|---|---|---|---|---|---|---|
| March 08, 2018 Filed Mar 10, 2018 00:52 UTC | HARMONIC INC. HLIT · Entity 4789 | Exercise / conversionCommon Stock | 33,496 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-18-018650 · doc4.xml · nonDerivative · entry 1 HARSHMAN PATRICK · CIK 0001216448 · Director · President and CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 708,160 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 23:21 UTC | HARMONIC INC. HLIT · Entity 4789 | Exercise / conversionRestricted Stock Unit · Derivative | 65,334 | $0.00 Strike: $0.00 | $0.00 |
DisclosureSEC source: 0001209191-18-011521 · doc4.xml · derivative · entry 9 HARSHMAN PATRICK · CIK 0001216448 · Director · President and CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 130,666 Underlying: Common Stock · 65,334 shares Expires 2020-02-15 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 23:21 UTC | HARMONIC INC. HLIT · Entity 4789 | Exercise / conversionRestricted Stock Unit · Derivative | 11,774 | $0.00 Strike: $0.00 | $0.00 |
DisclosureSEC source: 0001209191-18-011521 · doc4.xml · derivative · entry 8 HARSHMAN PATRICK · CIK 0001216448 · Director · President and CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 11,774 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 23:21 UTC | HARMONIC INC. HLIT · Entity 4789 | Exercise / conversionRestricted Stock Unit · Derivative | 9,000 | $0.00 Strike: $0.00 | $0.00 |
DisclosureSEC source: 0001209191-18-011521 · doc4.xml · derivative · entry 7 HARSHMAN PATRICK · CIK 0001216448 · Director · President and CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 9,000 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 23:21 UTC | HARMONIC INC. HLIT · Entity 4789 | SaleCommon Stock | 22,448 | $3.23 | $72,394.80 |
DisclosureSEC source: 0001209191-18-011521 · doc4.xml · nonDerivative · entry 6 HARSHMAN PATRICK · CIK 0001216448 · Director · President and CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 674,664 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 |
| February 15, 2018 Filed Feb 20, 2018 23:21 UTC | HARMONIC INC. HLIT · Entity 4789 | Exercise / conversionCommon Stock | 65,334 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-18-011521 · doc4.xml · nonDerivative · entry 5 HARSHMAN PATRICK · CIK 0001216448 · Director · President and CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 697,112 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 2/15/2018. These restricted stock units were initially granted to the Reporting Person on 7/11/2017, and were identified on a Form 4 filed by the Reporting Person on 7/12/2017. Read SEC document |
| February 15, 2018 Filed Feb 20, 2018 23:21 UTC | HARMONIC INC. HLIT · Entity 4789 | SaleCommon Stock | 5,026 | $3.05 | $15,348.90 |
DisclosureSEC source: 0001209191-18-011521 · doc4.xml · nonDerivative · entry 4 HARSHMAN PATRICK · CIK 0001216448 · Director · President and CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 631,778 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 |
| February 15, 2018 Filed Feb 20, 2018 23:21 UTC | HARMONIC INC. HLIT · Entity 4789 | Exercise / conversionCommon Stock | 11,774 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-18-011521 · doc4.xml · nonDerivative · entry 3 HARSHMAN PATRICK · CIK 0001216448 · Director · President and CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 636,804 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 3/14/2016, and were identified on a Form 4 filed by the Reporting Person on 3/16/2016. Read SEC document |
| February 15, 2018 Filed Feb 20, 2018 23:21 UTC | HARMONIC INC. HLIT · Entity 4789 | SaleCommon Stock | 3,862 | $3.05 | $11,794.55 |
DisclosureSEC source: 0001209191-18-011521 · doc4.xml · nonDerivative · entry 2 HARSHMAN PATRICK · CIK 0001216448 · Director · President and CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 625,030 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 |
| February 15, 2018 Filed Feb 20, 2018 23:21 UTC | HARMONIC INC. HLIT · Entity 4789 | Exercise / conversionCommon Stock | 9,000 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-18-011521 · doc4.xml · nonDerivative · entry 1 HARSHMAN PATRICK · CIK 0001216448 · Director · President and CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 628,892 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 4 filed by the Reporting Person on 3/17/2015. Read SEC document |
| November 16, 2017 Filed Nov 17, 2017 21:39 UTC | HARMONIC INC. HLIT · Entity 4789 | SaleCommon Stock | 25,394 | $3.81 | $96,728.29 |
DisclosureSEC source: 0001209191-17-061516 · doc4.xml · nonDerivative · entry 4 HARSHMAN PATRICK · CIK 0001216448 · Director · President and CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 619,892 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 21:39 UTC | HARMONIC INC. HLIT · Entity 4789 | SaleCommon Stock | 4,481 | $3.81 | $17,068.58 |
DisclosureSEC source: 0001209191-17-061516 · doc4.xml · nonDerivative · entry 2 HARSHMAN PATRICK · CIK 0001216448 · Director · President and CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 581,820 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 21:39 UTC | HARMONIC INC. HLIT · Entity 4789 | Exercise / conversionRestricted Stock Unit · Derivative | 11,774 | $0.00 Strike: $0.00 | $0.00 |
DisclosureSEC source: 0001209191-17-061516 · doc4.xml · derivative · entry 5 HARSHMAN PATRICK · CIK 0001216448 · Director · President and CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 11,774 Underlying: Common Stock · 11,774 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 21:39 UTC | HARMONIC INC. HLIT · Entity 4789 | Exercise / conversionCommon Stock | 63,466 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-17-061516 · doc4.xml · nonDerivative · entry 3 HARSHMAN PATRICK · CIK 0001216448 · Director · President and CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 645,286 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 21:39 UTC | HARMONIC INC. HLIT · Entity 4789 | Exercise / conversionCommon Stock | 11,774 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-17-061516 · doc4.xml · nonDerivative · entry 1 HARSHMAN PATRICK · CIK 0001216448 · Director · President and CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 586,301 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 22:34 UTC | HARMONIC INC. HLIT · Entity 4789 | SaleCommon Stock | 4,522 | $3.47 | $15,708.07 |
DisclosureSEC source: 0001209191-17-049477 · doc4.xml · nonDerivative · entry 4 HARSHMAN PATRICK · CIK 0001216448 · Director · President and CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 574,527 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 22:34 UTC | HARMONIC INC. HLIT · Entity 4789 | SaleCommon Stock | 3,457 | $3.47 | $12,008.58 |
DisclosureSEC source: 0001209191-17-049477 · doc4.xml · nonDerivative · entry 2 HARSHMAN PATRICK · CIK 0001216448 · Director · President and CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 567,276 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 22:34 UTC | HARMONIC INC. HLIT · Entity 4789 | Exercise / conversionRestricted Stock Unit · Derivative | 11,773 | $0.00 Strike: $0.00 | $0.00 |
DisclosureSEC source: 0001209191-17-049477 · doc4.xml · derivative · entry 6 HARSHMAN PATRICK · CIK 0001216448 · Director · President and CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 23,548 Underlying: Common Stock · 11,773 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 22:34 UTC | HARMONIC INC. HLIT · Entity 4789 | Exercise / conversionRestricted Stock Unit · Derivative | 9,000 | $0.00 Strike: $0.00 | $0.00 |
DisclosureSEC source: 0001209191-17-049477 · doc4.xml · derivative · entry 5 HARSHMAN PATRICK · CIK 0001216448 · Director · President and CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 9,000 Underlying: Common Stock · 9,000 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 22:34 UTC | HARMONIC INC. HLIT · Entity 4789 | Exercise / conversionCommon Stock | 11,773 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-17-049477 · doc4.xml · nonDerivative · entry 3 HARSHMAN PATRICK · CIK 0001216448 · Director · President and CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 579,049 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 22:34 UTC | HARMONIC INC. HLIT · Entity 4789 | Exercise / conversionCommon Stock | 9,000 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-17-049477 · doc4.xml · nonDerivative · entry 1 HARSHMAN PATRICK · CIK 0001216448 · Director · President and CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 570,733 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 |
| July 11, 2017 Filed Jul 12, 2017 20:42 UTC | HARMONIC INC. HLIT · Entity 4789 | GrantRestricted Stock Units · Derivative | 196,000 | $0.00 Strike: $0.00 | $0.00 |
DisclosureSEC source: 0001209191-17-044897 · doc4.xml · derivative · entry 1 HARSHMAN PATRICK · CIK 0001216448 · Director · President and CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 196,000 Underlying: Common Stock · 196,000 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 |
| May 15, 2017 Filed May 17, 2017 19:32 UTC | HARMONIC INC. HLIT · Entity 4789 | Exercise / conversionRestricted Stock Unit · Derivative | 11,773 | $0.00 Strike: $0.00 | $0.00 |
DisclosureSEC source: 0001209191-17-033017 · doc4.xml · derivative · entry 3 HARSHMAN PATRICK · CIK 0001216448 · Director · President and CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 35,321 Underlying: Common Stock · 11,773 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 19:32 UTC | HARMONIC INC. HLIT · Entity 4789 | Tax withholdingCommon Stock | 4,424 | $5.20 | $23,004.80 |
DisclosureSEC source: 0001209191-17-033017 · doc4.xml · nonDerivative · entry 2 HARSHMAN PATRICK · CIK 0001216448 · Director · President and CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 561,733 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 19:32 UTC | HARMONIC INC. HLIT · Entity 4789 | Exercise / conversionCommon Stock | 11,773 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-17-033017 · doc4.xml · nonDerivative · entry 1 HARSHMAN PATRICK · CIK 0001216448 · Director · President and CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 566,157 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 22:15 UTC | HARMONIC INC. HLIT · Entity 4789 | GrantPerformance Restricted Stock Units · Derivative | 84,000 | $0.00 Strike: $0.00 | $0.00 |
DisclosureSEC source: 0001209191-17-022413 · doc4.xml · derivative · entry 1 HARSHMAN PATRICK · CIK 0001216448 · Director · President and CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 84,000 Underlying: Common Stock · 84,000 shares Expires 2020-03-15 F1 · security: Each performance restricted stock unit, or PRSU, represents a contingent right to receive one share of HLIT common stock. F2 · 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 01, 2017 Filed Mar 3, 2017 23:44 UTC | HARMONIC INC. HLIT · Entity 4789 | Exercise / conversionRestricted Stock Unit · Derivative | 48,544 | $0.00 Strike: $0.00 | $0.00 |
DisclosureSEC source: 0001209191-17-018009 · doc4.xml · derivative · entry 3 HARSHMAN PATRICK · CIK 0001216448 · Director · President and CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 48,544 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 23:44 UTC | HARMONIC INC. HLIT · Entity 4789 | Tax withholdingCommon Stock | 18,242 | $5.90 | $107,627.80 |
DisclosureSEC source: 0001209191-17-018009 · doc4.xml · nonDerivative · entry 2 HARSHMAN PATRICK · CIK 0001216448 · Director · President and CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 554,384 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 23:44 UTC | HARMONIC INC. HLIT · Entity 4789 | Exercise / conversionCommon Stock | 48,544 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-17-018009 · doc4.xml · nonDerivative · entry 1 HARSHMAN PATRICK · CIK 0001216448 · Director · President and CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 572,626 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 21:37 UTC | HARMONIC INC. HLIT · Entity 4789 | Exercise / conversionRestricted Stock · Derivative | 47,094 | $0.00 Strike: $0.00 | $0.00 |
DisclosureSEC source: 0001209191-17-012150 · doc4.xml · derivative · entry 6 HARSHMAN PATRICK · CIK 0001216448 · Director · President and CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 47,094 Underlying: Common Stock · 47,094 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 21:37 UTC | HARMONIC INC. HLIT · Entity 4789 | Exercise / conversionRestricted Stock Unit · Derivative | 9,000 | $0.00 Strike: $0.00 | $0.00 |
DisclosureSEC source: 0001209191-17-012150 · doc4.xml · derivative · entry 5 HARSHMAN PATRICK · CIK 0001216448 · Director · President and CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 18,000 Underlying: Common Stock · 9,000 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 21:37 UTC | HARMONIC INC. HLIT · Entity 4789 | Tax withholdingCommon Stock | 17,767 | $5.70 | $101,271.90 |
DisclosureSEC source: 0001209191-17-012150 · doc4.xml · nonDerivative · entry 4 HARSHMAN PATRICK · CIK 0001216448 · Director · President and CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 524,082 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 21:37 UTC | HARMONIC INC. HLIT · Entity 4789 | Exercise / conversionCommon Stock | 47,094 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-17-012150 · doc4.xml · nonDerivative · entry 3 HARSHMAN PATRICK · CIK 0001216448 · Director · President and CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 541,849 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 21:37 UTC | HARMONIC INC. HLIT · Entity 4789 | Tax withholdingCommon Stock | 3,926 | $5.70 | $22,378.20 |
DisclosureSEC source: 0001209191-17-012150 · doc4.xml · nonDerivative · entry 2 HARSHMAN PATRICK · CIK 0001216448 · Director · President and CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 494,755 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 21:37 UTC | HARMONIC INC. HLIT · Entity 4789 | Exercise / conversionCommon Stock | 9,000 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-17-012150 · doc4.xml · nonDerivative · entry 1 HARSHMAN PATRICK · CIK 0001216448 · Director · President and CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 498,681 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 01:12 UTC | HARMONIC INC. HLIT · Entity 4789 | Exercise / conversionRestricted Stock Unit · Derivative | 11,134 | $0.00 Strike: $0.00 | $0.00 |
DisclosureSEC source: 0001209191-16-151040 · doc4.xml · derivative · entry 3 HARSHMAN PATRICK · CIK 0001216448 · Director · President and CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 70,517 Underlying: Common Stock · 11,134 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 01:12 UTC | HARMONIC INC. HLIT · Entity 4789 | Tax withholdingCommon Stock | 4,184 | $4.60 | $19,246.40 |
DisclosureSEC source: 0001209191-16-151040 · doc4.xml · nonDerivative · entry 2 HARSHMAN PATRICK · CIK 0001216448 · Director · President and CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 489,681 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 01:12 UTC | HARMONIC INC. HLIT · Entity 4789 | Exercise / conversionCommon Stock | 11,134 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-16-151040 · doc4.xml · nonDerivative · entry 1 HARSHMAN PATRICK · CIK 0001216448 · Director · President and CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 493,865 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 |
Value uses the disclosed total when available, otherwise shares × reported transaction price. It is not an estimate of exercise cash cost or investment performance.