Kalra Sanjay's Form 4 filing
Harmonic Inc. (HLIT) · filed Nov 16, 2021
- Accession no.
- 0001209191-21-064859
- Filed
- Nov 16, 2021
- Trade date
- Nov 12-15, 2021
- Filing delay
- 4 days
- Rule 10b5-1 plan
- Not on the form (before 2023)
This filing lists 5 non-derivative transactions and 2 derivative transactions. Open-market sales total $983.8K. It was filed 4 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 |
|---|---|
| Kalra SanjayCIK 0001504670 | Officer (SVP and CFO) |
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 |
|---|---|---|---|---|---|---|---|---|
| Nov 12, 2021 | Common Stock | SSaleDisposed | −91,176 | $10.79 | −$983,789.04 | 92,540 | Direct | |
| Nov 15, 2021 | Common Stock | MOption exerciseAcquired | +9,583 | $0.00 | $0 | 102,123 | Direct | |
| Nov 15, 2021 | Common Stock | FTax withholdingDisposed | −5,045 | $10.77 | −$54,334.65 | 97,078 | Direct | |
| Nov 15, 2021 | Common Stock | MOption exerciseAcquired | +10,447 | $0.00 | $0 | 107,525 | Direct | |
| Nov 15, 2021 | Common Stock | FTax withholdingDisposed | −5,500 | $10.77 | −$59,235 | 102,025 | 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 |
|---|---|---|---|---|---|---|---|---|
| Nov 15, 2021 | Common Stock | MOption exerciseDisposed | −9,583 | $0.00 | $0 | 9,584 | Direct | |
| Nov 15, 2021 | Common Stock | MOption exerciseDisposed | −10,447 | $0.00 | $0 | 52,238 | 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.