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 |
Stock Option/Right to buy
|
02/15/2012(1)
|
03/04/2018 |
Common Stock
|
65,000
|
$
9.69
|
D
|
Â
|
Stock Option/Right to buy
|
02/15/2013(2)
|
02/28/2019 |
Common Stock
|
80,000
|
$
6.14
|
D
|
Â
|
Restricted Stock Units
(3)
|
02/15/2013(4)
|
02/15/2016 |
Common Stock
|
5,625
|
$
0
|
D
|
Â
|
Stock Option/Right to buy
|
02/15/2014(2)
|
03/15/2020 |
Common Stock
|
120,000
|
$
5.78
|
D
|
Â
|
Stock Option/Right to buy
|
02/15/2015(2)
|
03/14/2021 |
Common Stock
|
100,000
|
$
6.49
|
D
|
Â
|
Restricted Stock Units
(3)
|
02/15/2015(4)
|
02/15/2016 |
Common Stock
|
6,250
|
$
0
|
D
|
Â
|
Stock Option/Right to buy
|
02/15/2016(5)
|
03/13/2022 |
Common Stock
|
80,000
|
$
7.58
|
D
|
Â
|
Restricted Stock Units
(3)
|
02/15/2016(6)
|
02/15/2018 |
Common Stock
|
27,333
|
$
0
|
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) |
Twenty-five percent of the Shares subject to the Option vested twelve months after the Vesting Commencement Date, and one forty eighth of the Shares subject to the Option vested monthly thereafter. |
(2) |
Twenty-five percent of the Shares subject to the Option vested twelve months after the Vesting Commencement Date, and one forty eighth of the Shares subject to the Option vests monthly thereafter. |
(3) |
Each restricted stock unit represents a contingent right to receive one share of HLIT common stock. |
(4) |
The shares subject to the restricted stock units are scheduled to vest in full on February 15, 2016. |
(5) |
Twenty-five percent of the Shares subject to the Option will vest twelve months after the Vesting Commencement Date, and one forty eighth of the Shares subject to the Option vests monthly thereafter. |
(6) |
Forty percent of the shares subject to the restricted stock units are scheduled to vest on February 15, 2016, and fifteen percent of the restricted stock units are scheduled to vest semi-annually thereafter so as to be 100% vested on February 15, 2018. |