# EDGAR Filing Document

**Accession Number:** 0000851310
**File Stem:** 0001209191-23-017589
**Filing Date:** 2023-3
**Character Count:** 5815
**Document Hash:** 5f6bbcffca2062538313ffd4b61d2199
**Contains OCR:** False
**Source Format:** 

## Filing Content

## Filing Summary
**0001209191-23-017589.hdr.sgml**: 20230309

**ACCESSION NUMBER**: 0001209191-23-017589

**CONFORMED SUBMISSION TYPE**: 3

**PUBLIC DOCUMENT COUNT**: 1

**CONFORMED PERIOD OF REPORT**: 20230303

**FILED AS OF DATE**: 20230309

**DATE AS OF CHANGE**: 20230309

**REPORTING-OWNER**: 

**OWNER DATA:**
- **COMPANY CONFORMED NAME:** Rosenberg Jeremy
- **CENTRAL INDEX KEY:** 0001968830

**FILING VALUES:**
- **FORM TYPE:** 3
- **SEC ACT:** 1934 Act
- **SEC FILE NUMBER:** 000-25826
- **FILM NUMBER:** 23720566

**MAIL ADDRESS:**
- **STREET 1:** 2590 ORCHARD PARKWAY
- **CITY:** SAN JOSE
- **STATE:** CA
- **ZIP:** 95131
**ISSUER**: 

**COMPANY DATA:**
- **COMPANY CONFORMED NAME:** HARMONIC INC
- **CENTRAL INDEX KEY:** 0000851310
- **STANDARD INDUSTRIAL CLASSIFICATION:** RADIO & TV BROADCASTING & COMMUNICATIONS EQUIPMENT [3663]
- **IRS NUMBER:** 770201147
- **STATE OF INCORPORATION:** DE
- **FISCAL YEAR END:** 1231

**BUSINESS ADDRESS:**
- **STREET 1:** 4300 NORTH FIRST STREET
- **CITY:** SAN JOSE
- **STATE:** CA
- **ZIP:** 95134
- **BUSINESS PHONE:** 4084906242

**MAIL ADDRESS:**
- **STREET 1:** 4300 NORTH FIRST STREET
- **CITY:** SAN JOSE
- **STATE:** CA
- **ZIP:** 95134

**FORMER COMPANY:**
- **FORMER CONFORMED NAME:** HARMONIC LIGHTWAVES INC
- **DATE OF NAME CHANGE:** 19950404

### UNITED STATES SECURITIES AND EXCHANGE COMMISSION
**Washington, D.C. 20549**

## FORM 3

### INITIAL STATEMENT OF BENEFICIAL OWNERSHIP OF SECURITIES

[ ] 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**<sup>*</sup><br>Rosenberg Jeremy<br><sub>(Last) (First) (Middle)</sub><br>2590 ORCHARD PARKWAY<br><sub>(Street)</sub><br>SAN JOSE, CA 95131<br><sub>(City) (State) (Zip)</sub> | **3. Issuer Name and Ticker or Trading Symbol**<br>HARMONIC INC [ HLIT ] | **5. If Amendment, Date of Original Filed (Month/Day/Year)**<br>  |
| **2. Date of Event Requiring Statement (Month/Day/Year)**<br>2023-03-03 | **4. Relationship of Reporting Person(s) to Issuer**<br>(Check all applicable)<br>[ ] Director   [ ] 10% Owner<br>[X] Officer (give title below)   [ ] Other (specify below)<br>_Interim CFO & SVP Bus Dev_ | **6. Individual or Joint/Group Filing (Check Applicable Line)**<br>[X] Form filed by One Reporting Person<br>[ ] Form filed by More than One Reporting Person |

---

## Table I - Non-Derivative Securities Beneficially Owned

---

|  |  |  |  |
| --- | --- | --- | --- |
| 1. Title of Security | 2. Amount of Securities Beneficially Owned | 3. Ownership Form | 4. Nature of Indirect Beneficial Ownership |
| Common Stock | 147548 | D |  |

---

## Table II - Derivative Securities Beneficially Owned

---

|  |  |  |  |  |  |  |  |
| --- | --- | --- | --- | --- | --- | --- | --- |
| 1. Title of Derivative Security | 2. Date Exercisable and Expiration Date (Month/Day/Year) | 2. Date Exercisable and Expiration Date (Month/Day/Year) | 3. Title and Amount of Underlying Securities | 3. Title and Amount of Underlying Securities | 4. Conversion or Exercise Price | 5. Ownership Form | 6. Nature of Indirect Beneficial Ownership |
| 1. Title of Derivative Security | Date Exercisable | Expiration Date | Title | Amount or Number of Shares | 4. Conversion or Exercise Price | 5. Ownership Form | 6. Nature of Indirect Beneficial Ownership |
| Restricted Stock Units<sup>(1)</sup> | 2022-02-15<sup>(2)</sup> | 2024-02-15 | Common Stock | 36398 | $0.00 | D |  |
| Restricted Stock Units<sup>(1)</sup> | 2023-02-15<sup>(3)</sup> | 2025-02-15 | Common Stock | 33589 | $0.00 | D |  |
| Restricted Stock Units<sup>(1)</sup> | 2023-05-15<sup>(4)</sup> | 2025-05-15 | Common Stock | 6000 | $0.00 | D |  |
| Restricted Stock Units<sup>(1)</sup> | 2024-02-15<sup>(5)</sup> | 2026-02-15 | Common Stock | 34819 | $0.00 | D |  |

---

### Footnotes:

(1) Each restricted stock unit represents a contingent right to receive one share of HLIT common stock.

(2) Thirty three percent of the Shares subject to the Restricted Stock Unit (RSU) Grant vested on February 15, 2022, and equal quarterly increments of the Shares subject to the RSU are scheduled to vest quarterly thereafter, until 100% vested as of February 15, 2024.

(3) Thirty three percent of the Shares subject to the Restricted Stock Unit (RSU) Grant vested on February 15, 2023, and equal quarterly increments of the Shares subject to the RSU are scheduled to vest quarterly thereafter, until 100% vested as of February 15, 2025.

(4) Thirty three percent of the Shares subject to the Restricted Stock Units are scheduled to vest on May 15, 2023, and equal increments of the Shares subject to the RSU are scheduled to vest quarterly thereafter, so as to be 100% vested on May 15, 2025.

(5) Thirty three percent of the Shares subject to the Restricted Stock Units are scheduled to vest on February 15, 2024, and equal increments of the Shares subject to the RSU are scheduled to vest quarterly thereafter, so as to be 100% vested on February 15, 2026.

**Signature:** Laura A Donovan
By Attorney-in-Fact: Laura Donovan  
**Date:** 2023-03-09

### Remarks:

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).

Note: File three copies of this Form, one of which must be manually signed. If space is insufficient, see Instruction 6 for procedure.

**Persons who respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB Number.**