Sec Form 4 Filing - Graham Ian @ HARMONIC INC - 2020-08-15

Insider filing report for Changes in Beneficial Ownership
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FORM 4
Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b).
UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP
Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934, Section 17(a) of the Public Utility Holding Company Act of 1935 or Section 30(h) of the Investment Company Act of 1940
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1. Name and Address of Reporting Person
Graham Ian
2. Issuer Name and Ticker or Trading Symbol
HARMONIC INC [ HLIT]
5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
_____ Director _____ 10% Owner
X __ Officer (give title below) _____ Other (specify below)
SVP, Global Sales & Video Svcs
(Last) (First) (Middle)
2590 ORCHARD PARKWAY
3. Date of Earliest Transaction (MM/DD/YY)
08/15/2020
(Street)
SAN JOSE, CA95131
4. If Amendment, Date Original Filed (MM/DD/YY)
6. Individual or Joint/Group Filing (Check Applicable Line)
__ X __ Form filed by One Reporting Person
_____ Form filed by More than One Reporting Person
(City) (State) (Zip)
Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
1.Title of Security
(Instr. 3)
2. Transaction Date (MM/DD/YY) 2A. Deemed Execution Date, if any (MM/DD/YY) 3. Transaction Code
(Instr. 8)
4. Securities Acquired (A) or Disposed of (D)
(Instr. 3, 4 and 5)
5. Amount of Securities Beneficially Owned Following Reported Transaction(s)
(Instr. 3 and 4)
6. Ownership Form: Direct (D) or Indirect (I)
(Instr. 4)
7. Nature of Indirect Beneficial Ownership
(Instr. 4)
Code V Amount (A) or (D) Price
Common Stock 08/15/2020 M 4,166 ( 1 ) A $ 0 70,193 D
Common Stock 08/15/2020 F 2,274 D $ 6.72 67,919 D
Common Stock 08/15/2020 M 4,583 ( 2 ) A $ 0 72,502 D
Common Stock 08/15/2020 F 2,501 D $ 6.72 70,001 D
Table II - Derivative Securities Acquired, Disposed of, or Beneficially Owned
( e.g. , puts, calls, warrants, options, convertible securities)
1. Title of Derivative Security
(Instr. 3)
2. Conversion or Exercise Price of Derivative Security 3. Transaction Date (MM/DD/YY) 3A. Deemed Execution Date, if any (MM/DD/YY) 4. Transaction Code
(Instr. 8)
5. Number of Derivative Securities Acquired (A) or Disposed of (D)
(Instr. 3, 4, and 5)
6. Date Exercisable and Expiration Date
(MM/DD/YY)
7. Title and Amount of Underlying Securities
(Instr. 3 and 4)
8. Price of Derivative Security
(Instr. 5)
9. Number of Derivative Securities Beneficially Owned Following Reported Transaction(s)
(Instr. 4)
10. Ownership Form of Derivative Security: Direct (D) or Indirect (I)
(Instr. 4)
11. Nature of Indirect Beneficial Ownership
(Instr. 4)
Code V (A) (D) Date Exercisable Expiration Date Title Amount or Number of Shares
Restricted Stock Units ( 3 ) $ 0 08/15/2020 M 4,166 02/15/2019 02/15/2021 Common Stock 4,166 $ 0 8,334 D
Restricted Stock Units ( 3 ) $ 0 08/15/2020 M 4,583 02/15/2020 02/15/2022 Common Stock 4,583 $ 0 27,501 D
Reporting Owners
Reporting Owner Name / Address Relationships
Director 10% Owner Officer Other
Graham Ian
2590 ORCHARD PARKWAY
SAN JOSE, CA95131
SVP, Global Sales & Video Svcs
Signatures
Laura DonovanBy Attorney-in-Fact: Laura Donovan 08/18/2020
Signature of Reporting Person Date
Explanation of Responses:
( 1 )These shares of common stock were acquired upon the vesting of restricted stock units on August 15, 2020. These restricted stock units were initially granted to the Reporting Person on March 20, 2018, and were identified on a Form 3 filed by the Reporting Person on August 7, 2020.
( 2 )These shares of common stock were acquired upon the vesting of restricted stock units on August 15, 2020. These restricted stock units were initially granted to the Reporting Person on June 22, 2019, and were identified on a Form 3 filed by the Reporting Person on August 7, 2020.
( 3 )Each restricted stock unit represents a contingent right to receive one share of HLIT common stock.

Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly.
* If the form is filed by more than one reporting person, see Instruction 4(b)(v).
** Intentional misstatements or omissions of facts constitute Federal Criminal Violations. See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a).

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