Morgan Stanley files Form 144 to sell common shares

Morgan Stanley Smith Barney LLC submitted a Form 144 reporting proposed sales of Common shares related to restricted stock and performance-share awards.

Rhea-AI Filing Summary

Morgan Stanley Smith Barney LLC submitted a Form 144 reporting proposed sales of Common shares related to restricted stock and performance-share awards. The filing lists multiple lots, including 3,030, 3,528, 3,528, 2,854, 3,081, 2,985, 2,984, 2,984, and 6,792 shares tied to grant dates between 08/15/2023 and 02/04/2025. The entries are described as Restricted Stock or Performance Shares.

Insights

Securities Compliance Analyst

Form 144 lists proposed dispositions of restricted and performance-based equity awards.

Form 144 is a notice of intent to sell; it does not itself effect a sale. The filing lists discrete award lots with grant dates and share counts, which signal planned holder dispositions tied to compensation awards.

Timing and actual proceeds are not stated; subsequent trade reports or broker confirmations would show execution details.

Key Figures

Lot - 08/15/2023: 3,030 shares Lot - 08/15/2023 (second): 3,528 shares Lot - 11/15/2023: 3,528 shares +2 more

5 metrics

Lot - 08/15/2023 3,030 shares Restricted Stock grant date 08/15/2023

Lot - 08/15/2023 (second) 3,528 shares Restricted Stock grant date 08/15/2023

Lot - 11/15/2023 3,528 shares Restricted Stock grant date 11/15/2023

Lot - 02/04/2025 6,792 shares Performance Shares grant date 02/04/2025

Broker/Filer Morgan Stanley Smith Barney LLC Executive Financial Services, 1 New York Plaza, 8th Floor

Key Terms

Restricted Stock, Performance Shares, Form 144

3 terms

Restricted Stock financial

"Common | 08/15/2023 | Restricted Stock | Issuer"

Shares granted to an individual that carry limits on transfer or sale until certain conditions are met, such as staying with the company for a set time or hitting performance targets. Think of them as a locked gift that gradually opens; for investors they matter because they affect how many shares may enter the market later, signal management incentives and potential dilution, and reveal confidence in future company performance.

Performance Shares financial

"Common | 02/04/2025 | Performance Shares | Issuer"

Performance shares are a type of company stock given to executives or employees that only become theirs if the company meets specific goals, like hitting certain profits or growth targets. They motivate leaders to work toward the company’s success, because their additional shares depend on achieving these results.

Form 144 regulatory

"144: Securities To Be Sold"

Form 144 is a document that investors must file with the government when they plan to sell a large number of shares of a company's stock. It helps ensure transparency so everyone knows how many shares are being sold and when, which can impact the stock's price.

FAQ

AI-generated questions and answers. How Rhea-AI works. Not financial advice.

What does HLIT Form 144 filed by Morgan Stanley indicate?

It indicates a notice of proposed sale of Common shares by Morgan Stanley Smith Barney LLC. The filing lists multiple restricted-stock and performance-share lots with specific grant dates and counts.

How many shares are listed in the HLIT Form 144 entries?

The entries include individual lots such as 3,030; 3,528; 2,854; 3,081; 2,985; 2,984; and 6,792 shares. Each lot is tied to a specific grant date between 08/15/2023 and 02/04/2025.

Are the listed HLIT securities restricted or freely tradable?

The filing labels the lots as Restricted Stock or Performance Shares, indicating they originated as compensation awards. The Form 144 is a sale notice, not confirmation that restrictions have been removed.

Does the HLIT Form 144 show sale proceeds or execution dates?

No; the Form 144 lists proposed sales and share counts by grant date but does not report sale prices, proceeds, or confirmed execution dates.

Who filed the HLIT Form 144 and where is the broker listed?

The filer is Morgan Stanley Smith Barney LLC, Executive Financial Services, with an address at 1 New York Plaza, 8th Floor, New York, NY 10004, as shown on the form.

AI-generated analysis. How Rhea-AI works. Not financial advice.

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Accepted by SEC EDGAR 05/13/2026 - 04:19 PM EDT Learn about SEC filing dates

Form 144 Filer Information	UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Form 144 NOTICE OF PROPOSED SALE OF SECURITIES PURSUANT TO RULE 144 UNDER THE SECURITIES ACT OF 1933
FORM 144

144: Filer Information

Filer CIK	0001380567
Filer CCC	XXXXXXXX
Is this a LIVE or TEST Filing?	LIVE TEST
Submission Contact Information
Name
Phone
E-Mail Address

144: Issuer Information

Name of Issuer	HARMONIC INC.
SEC File Number	000-25826
Address of Issuer	2590 Orchard Parkway San Jose CALIFORNIA 95131
Phone	408-542-2500
Name of Person for Whose Account the Securities are To Be Sold	NEVEN HALTMAYER
See the definition of "person" in paragraph (a) of Rule 144. Information is to be given not only as to the person for whose account the securities are to be sold but also as to all other persons included in that definition. In addition, information shall be given as to sales by all persons whose sales are required by paragraph (e) of Rule 144 to be aggregated with sales for the account of the person filing this notice.
Relationship to Issuer	Officer

144: Securities Information

Title of the Class of Securities To Be Sold	Name and Address of the Broker	Number of Shares or Other Units To Be Sold	Aggregate Market Value	Number of Shares or Other Units Outstanding	Approximate Date of Sale	Name the Securities Exchange
Common	Morgan Stanley Smith Barney LLC Executive Financial Services 1 New York Plaza 8th Floor New York NY 10004	31766	420604.08	110242356	05/13/2026	NASDAQ

Furnish the following information with respect to the acquisition of the securities to be sold and with respect to the payment of all or any part of the purchase price or other consideration therefor:

144: Securities To Be Sold

Title of the Class	Date you Acquired	Nature of Acquisition Transaction	Name of Person from Whom Acquired	Is this a Gift?	Date Donor Acquired	Amount of Securities Acquired	Date of Payment	Nature of Payment *
Common	08/15/2023	Restricted Stock	Issuer			3030	08/15/2023	Not Applicable
Common	08/15/2023	Restricted Stock	Issuer			3528	08/15/2023	Not Applicable
Common	11/15/2023	Restricted Stock	Issuer			3528	11/15/2023	Not Applicable
Common	02/15/2024	Restricted Stock	Issuer			2854	02/15/2024	Not Applicable
Common	02/15/2024	Restricted Stock	Issuer			3081	02/15/2024	Not Applicable
Common	05/15/2024	Restricted Stock	Issuer			2985	05/15/2024	Not Applicable
Common	08/15/2024	Restricted Stock	Issuer			2984	08/15/2024	Not Applicable
Common	11/15/2024	Restricted Stock	Issuer			2984	11/15/2024	Not Applicable
Common	02/04/2025	Performance Shares	Issuer			6792	02/04/2025	Not Applicable

* If the securities were purchased and full payment therefor was not made in cash at the time of purchase, explain in the table or in a note thereto the nature of the consideration given. If the consideration consisted of any note or other obligation, or if payment was made in installments describe the arrangement and state when the note or other obligation was discharged in full or the last installment paid.

Furnish the following information as to all securities of the issuer sold during the past 3 months by the person for whose account the securities are to be sold.

144: Securities Sold During The Past 3 Months

Nothing to Report

144: Remarks and Signature

Remarks
Date of Notice	05/13/2026
ATTENTION:
The person for whose account the securities to which this notice relates are to be sold hereby represents by signing this notice that he does not know any material adverse information in regard to the current and prospective operations of the Issuer of the securities to be sold which has not been publicly disclosed. If such person has adopted a written trading plan or given trading instructions to satisfy Rule 10b5-1 under the Exchange Act, by signing the form and indicating the date that the plan was adopted or the instruction given, that person makes such representation as of the plan adoption or instruction date.
Signature	/s/ Neven Haltmayer
ATTENTION: Intentional misstatements or omission of facts constitute Federal Criminal Violations (See 18 U.S.C. 1001)