Haltmayer Neven Form 4 HARMONIC / Neven Haltmayer ownership change

SEC Form 4

FORM 4

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
or Section 30(h) of the Investment Company Act of 1940

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Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b).

1. Name and Address of Reporting Person^*

Haltmayer Neven

(Last) (First) (Middle)

4300 NORTH FIRST STREET

(Street)

SAN JOSE CA 95134

(City) (State) (Zip)

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, Video R&D

3. Date of Earliest Transaction (Month/Day/Year)
12/10/2019

4. If Amendment, Date of Original Filed (Month/Day/Year)

6. Individual or Joint/Group Filing (Check Applicable Line)

X	Form filed by One Reporting Person
	Form filed by More than One Reporting Person

Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
1. Title of Security (Instr. 3)	2. Transaction Date (Month/Day/Year)	2A. Deemed Execution Date, if any (Month/Day/Year)	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	12/10/2019		M		30,000(1)	A	$5.78	203,008	D
Common Stock	12/10/2019		S		30,000	D	$8.1712	173,008	D
Common Stock	12/10/2019		M		10,000(2)	A	$6.49	183,008	D
Common Stock	12/10/2019		S		10,000	D	$8.1712	173,008	D
Common Stock	12/10/2019		M		30,000(2)	A	$6.49	203,008	D
Common Stock	12/10/2019		S		30,000	D	$8.192	173,008	D
Common Stock	12/11/2019		M		60,000(2)	A	$6.49	233,008	D
Common Stock	12/11/2019		S		60,000	D	$8.173	173,008	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 (Month/Day/Year)	3A. Deemed Execution Date, if any (Month/Day/Year)	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 (Month/Day/Year)		7. Title and Amount of Securities Underlying Derivative Security (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: 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
Stock option/right to buy	$5.78	12/10/2019		M			30,000	02/15/2014	03/15/2020	Common Stock	30,000	$5.78	0	D
Stock option/right to buy	$6.49	12/10/2019		M			10,000	02/15/2015	03/14/2021	Common Stock	10,000	$6.49	90,000	D
Stock option/right to buy	$6.49	12/10/2019		M			30,000	02/15/2015	03/14/2021	Common Stock	30,000	$6.49	60,000	D
Stock option/right to buy	$6.49	12/11/2019		M			60,000	02/15/2015	03/14/2021	Common Stock	60,000	$6.49	0	D

Explanation of Responses:

1. These shares of common stock were acquired upon the exercise of a stock option/right to buy on December 10, 2019. The option was initially granted to the Reporting Person on 3/15/2013, and was identified on a Form 4 filed by the Reporting Person on 3/19/2013.

2. These shares of common stock were acquired upon the exercise of a stock option/right to buy on December 10, 2019. The option was initially granted to the Reporting Person on 3/14/2014, and was identified on a Form 4 filed by the Reporting Person on 3/18/2014.

Remarks:

	/s/ Laura Donovan By Attorney-in-Fact Laura Donovan	12/12/2019
	** Signature of Reporting Person	Date
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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