Harshman Patrick's Form 4 filing
Harmonic Inc. (HLIT) · filed Sep 16, 2021
- Accession no.
- 0001209191-21-056437
- Filed
- Sep 16, 2021
- Trade date
- Sep 14-15, 2021
- Filing delay
- 2 days
- Rule 10b5-1 plan
- Not on the form (before 2023)
This filing lists 4 non-derivative transactions and 2 derivative transactions. Open-market sales total $2.38M. It was filed 2 days after the trade.
Reporting owners
A Form 4 can have several reporting owners, such as a person and a fund they control. Trade tables show the first one.
| Owner | Relationship to the company |
|---|---|
| Harshman PatrickCIK 0001216448 | Director, Officer (President and CEO) |
Non-derivative securities (Table I)
Acquisitions and disposals of common stock and similar shares, one row per line on the filing.
| Trade date | Security | Transaction | Shares | Price | Value | Shares after | Ownership | Flags |
|---|---|---|---|---|---|---|---|---|
| Sep 14, 2021 | Common Stock | MOption exerciseAcquired | +170,003 | $7.58 | +$1,288,622.74 | 1,192,298 | Direct | |
| Sep 14, 2021 | Common Stock | SSaleDisposed | −170,003 | $8.95 | −$1,521,526.85 | 1,022,295 | Direct | |
| Sep 15, 2021 | Common Stock | MOption exerciseAcquired | +96,664 | $7.58 | +$732,713.12 | 1,118,959 | Direct | |
| Sep 15, 2021 | Common Stock | SSaleDisposed | −96,664 | $8.85 | −$855,476.4 | 1,022,295 | Direct |
Derivative securities (Table II)
Options, warrants, restricted stock units and similar. Shares are the underlying shares; price and value are for the derivative itself, and the holding after is in derivative units.
| Trade date | Security | Transaction | Underlying shares | Unit price | Value | Held after | Ownership | Flags |
|---|---|---|---|---|---|---|---|---|
| Sep 14, 2021 | Common Stock | MOption exerciseDisposed | −170,003 | $7.58 | −$1,288,622.74 | 96,664 | Direct | |
| Sep 15, 2021 | Common Stock | MOption exerciseDisposed | −96,664 | $7.58 | −$732,713.12 | 0 | Direct |
Footnotes
Livermore does not store Form 4 footnotes. For price ranges, how indirect holdings are held and trading plan details, read the original on SEC EDGAR.