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 of Derivative Security: 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)
|
02/15/2011(2)
|
02/15/2014 |
Common Stock
|
30,000
|
$
0
|
D
|
Â
|
Restricted Stock Units
(1)
|
02/15/2011(2)
|
02/15/2014 |
Common Stock
|
14,000
|
$
0
|
D
|
Â
|
Restricted Stock Units
(1)
|
11/15/2011(3)
|
11/15/2014 |
Common Stock
|
15,000
|
$
0
|
D
|
Â
|
Stock Option/Right to Buy
|
01/04/2011(4)
|
01/04/2017 |
Common Stock
|
60,000
|
$
6.56
|
D
|
Â
|
Stock Option/Right to Buy
|
02/15/2011(5)
|
02/19/2017 |
Common Stock
|
26,000
|
$
6.41
|
D
|
Â
|
Stock Option/Right to Buy
|
11/15/2011(5)
|
11/30/2017 |
Common Stock
|
25,000
|
$
6.76
|
D
|
Â
|
* |
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). |
(1) |
Each restricted stock unit represents a contingent right to receive one share of Harmonic common stock. |
(2) |
Twenty five percent of the shares subject to the restricted stock units are scheduled to vest on February 15, 2011, and twelve and one half percent of the restricted stock units are scheduled to vest on each of August 15, 2011, February 15, 2012, August 15, 2012, February 15, 2013, August 15, 2013 and February 15, 2014. |
(3) |
Twenty five percent of the shares subject to the restricted stock units are scheduled to vest on November 15, 2011, and twelve and one half percent of the restricted stock units are scheduled to vest on each of May 15, 2012, November 15, 2012, May 15, 2013, November 15, 2013, May 15, 2014 and November 15, 2014. |
(4) |
Twenty-five percent of the Shares subject to the Option are scheduled to vest twelve months after the Vesting Commencement Date, and one forty eighth of the Shares subject to the Option are scheduled to vest monthly thereafter. |
(5) |
Twenty-five percent of the Shares subject to the Option were scheduled to vest twelve months after the Vesting Commencement Date, and one forty eighth of the Shares subject to the Option were scheduled to vest on the 15th day of each month thereafter. |