SEC FORM 3 SEC Form 3
FORM 3 UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549

INITIAL STATEMENT OF BENEFICIAL OWNERSHIP OF SECURITIES

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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1. Name and Address of Reporting Person*
Louvet Eric

(Last) (First) (Middle)
4300 NORTH FIRST STREET

(Street)
SAN JOSE CA 95134

(City) (State) (Zip)
2. Date of Event Requiring Statement (Month/Day/Year)
02/06/2019
3. Issuer Name and Ticker or Trading Symbol
HARMONIC INC [ HLIT ]
4. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
Director 10% Owner
X Officer (give title below) Other (specify below)
SVP Sales NA & APAC
5. 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 Beneficially Owned
1. Title of Security (Instr. 4) 2. Amount of Securities Beneficially Owned (Instr. 4) 3. Ownership Form: Direct (D) or Indirect (I) (Instr. 5) 4. Nature of Indirect Beneficial Ownership (Instr. 5)
Common Stock 52,452 D
Table II - Derivative Securities Beneficially Owned
(e.g., puts, calls, warrants, options, convertible securities)
1. Title of Derivative Security (Instr. 4) 2. Date Exercisable and Expiration Date (Month/Day/Year) 3. Title and Amount of Securities Underlying Derivative Security (Instr. 4) 4. Conversion or Exercise Price of Derivative Security 5. Ownership Form: Direct (D) or Indirect (I) (Instr. 5) 6. Nature of Indirect Beneficial Ownership (Instr. 5)
Date Exercisable Expiration Date Title Amount or Number of Shares
Restricted Stock Units(1) 03/01/2017(2) 03/01/2020 Common Stock 45,000 0.00 D
Restricted Stock Units(1) 02/15/2018(3) 02/15/2019 Common Stock 1,250 0.00 D
Restricted Stock Units(1) 02/15/2019(4) 02/15/2021 Common Stock 50,000 0.00 D
Explanation of Responses:
1. Each restricted stock unit represents a contingent right to receive one share of HLIT common stock.
2. Twenty five percent of the shares subject to the restricted stock units vested on March 1, 2017 and on March 1, 2018, and twenty five percent of the shares subject to the restricted stock units vest annually thereafter so as to be 100% vested on March 1, 2020.
3. Fifty percent of the Shares subject to the Restricted Stock Units vested on February 15, 2018, and twenty five percent of the Restricted Stock Units are scheduled to vest quarterly thereafter so as to be 100% vested on February 15, 2019.
4. Thirty three percent of the Shares subject to the Restricted Stock Unit (RSU) Grant are scheduled to vest February 15, 2019, and equal increments of the Shares subject to the RSU are scheduled to vest quarterly thereafter, until 100% vested as of February 15, 2021.
Remarks:
/s/ Laura Donovan By Laura Donovan, Attorney-in-Fact 02/13/2019
** 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 5 (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).
Note: File three copies of this Form, one of which must be manually signed. If space is insufficient, see Instruction 6 for procedure.
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