Harmonic CFO exercises 1,457 RSUs, 732 shares withheld

Harmonic’s CFO exercised 1,457 RSUs into common stock and had 732 shares withheld for exercise price or tax obligations, outside any Rule 10b5-1 plan.

Available on EDGAR 09/15/2026 - 04:46 PM EDT Accepted by SEC EDGAR 09/15/2026 - 04:46 PM EDT Learn about SEC filing dates

Rhea-AI Filing Summary

HARMONIC INC. (HLIT) reported that Chief Financial Officer Walter Jankovic exercised 1,457 Restricted Stock Units into an equal number of shares of common stock on September 11, 2026. On the same date, 732 shares of common stock were delivered or withheld for payment of exercise price or tax liability at $12.00 per share.

Insider Trade Summary

1,457 shares exercised/converted

Exercise 3 txns

Insider Jankovic Walter

Role Chief Financial Officer

Type	Security	Shares	Price	Value
Exercise	Restricted Stock Units F1	1,457	$0.00	$0.00
Exercise	Common Stock	1,457	$0.00	$0.00
Exercise Price or Tax Liability	Common Stock	732	$12.00	$9K

Holdings After Transaction: Restricted Stock Units — 4,371 contracts (Direct); Common Stock — 166,839 shares (Direct)

Footnotes (1)

1. F1. Each restricted stock unit represents a contingent right to receive one share of HLIT common stock.

Key Figures

RSUs Exercised: 1,457 units Common Shares Acquired from RSU Exercise: 1,457 shares Shares Delivered/Withheld for Exercise Price or Tax Liability: 732 shares +2 more

5 metrics

RSUs Exercised 1,457 units Restricted Stock Units converted into common stock on September 11, 2026

Common Shares Acquired from RSU Exercise 1,457 shares Shares of HLIT common stock received on September 11, 2026

Shares Delivered/Withheld for Exercise Price or Tax Liability 732 shares Common stock used for exercise price or tax liability at $12.00 per share

Share Price Used for Tax/Exercise Calculation $12.00 per share Applied to 732 shares delivered or withheld on September 11, 2026

RSU Holdings After Transaction 4,371 units Total Restricted Stock Units reported as held directly after the RSU exercise

Key Terms

Restricted Stock Units, Rule 10b5-1 plan, Payment of exercise price or tax liability

3 terms

Restricted Stock Units financial

"Each restricted stock unit represents a contingent right to receive one share"

Restricted stock units are a type of company reward where employees are promised shares of stock, but they only fully own these shares after meeting certain conditions, like staying with the company for a set time. They matter because they can become valuable assets and are often used to motivate employees to help the company succeed.

Rule 10b5-1 plan regulatory

"The Rule 10b5-1 plan affirmation box is not checked"

A Rule 10b5-1 plan is a prearranged, written schedule that lets corporate insiders buy or sell company stock at set times or amounts, even if they later learn material nonpublic information. Think of it like setting an automatic thermostat for trades: it creates a clear record that trades were planned in advance, reducing the risk of insider-trading accusations and helping investors trust that insider transactions are routine rather than based on secret information.

Payment of exercise price or tax liability financial

"Payment of exercise price or tax liability by delivering or withholding securities"

FAQ

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

What insider transaction did HLIT’s CFO report on this Form 4?

Walter Jankovic, Chief Financial Officer of HARMONIC INC. (HLIT), reported exercising 1,457 Restricted Stock Units into 1,457 shares of common stock on September 11, 2026, with a portion of the resulting shares delivered or withheld for exercise price or tax obligations.

How many HLIT RSUs did the CFO exercise and into how many shares?

The CFO exercised 1,457 Restricted Stock Units, and each unit represented a contingent right to receive one share of HLIT common stock, resulting in 1,457 shares of common stock on September 11, 2026.

How many HLIT shares were used to cover the exercise price or tax liability?

On September 11, 2026, 732 shares of HLIT common stock were delivered or withheld for payment of the option exercise price or tax liability at a reported price of $12.00 per share.

Was the HLIT CFO’s Form 4 transaction under a Rule 10b5-1 plan?

No. The filing indicates that the Rule 10b5-1 plan affirmation box is not checked, so these transactions were not reported as being made pursuant to a Rule 10b5-1 trading plan.

What does each HLIT restricted stock unit represent in this Form 4?

Each restricted stock unit reported by the HLIT CFO represents a contingent right to receive one share of HLIT common stock, as stated in the footnote attached to the RSU transaction.

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

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SEC Form 4

FORM 4

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

STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP

Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934
or Section 30(h) of the Investment Company Act of 1940

OMB APPROVAL

OMB Number:			3235-0287
Estimated average burden
hours per response:			0.5

Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b).

Check this box to indicate that a transaction was made pursuant to a contract, instruction or written plan for the purchase or sale of equity securities of the issuer that is intended to satisfy the affirmative defense conditions of Rule 10b5-1(c). See Instruction 10.

1. Name and Address of Reporting Person^*

Jankovic Walter

(Last) (First) (Middle)

2590 ORCHARD PARKWAY

(Street)

SAN JOSE CALIFORNIA 95131

(City) (State) (Zip)

UNITED STATES

(Country)

2. Issuer Name and Ticker or Trading Symbol
HARMONIC INC. [ HLIT ]

5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)

	Director		10% Owner
X	Officer (give title below)		Other (specify below)
	Chief Financial Officer

2a. Foreign Trading Symbol

3. Date of Earliest Transaction (Month/Day/Year)
09/11/2026

6. Individual or Joint/Group Filing (Check Applicable Line)

X	Form filed by One Reporting Person
	Form filed by More than One Reporting Person

4. If Amendment, Date of Original Filed (Month/Day/Year)

Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
1. Title of Security (Instr. 3)	2. Transaction Date (Month/Day/Year)	2A. Deemed Execution Date, if any (Month/Day/Year)	3. Transaction Code (Instr. 8)		4. Securities Acquired (A) or Disposed Of (D) (Instr. 3, 4 and 5)			5. Amount of Securities Beneficially Owned Following Reported Transaction(s) (Instr. 3 and 4)	6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4)	7. Nature of Indirect Beneficial Ownership (Instr. 4)
			Code	V	Amount	(A) or (D)	Price
Common Stock	09/11/2026		M		1,457	A	$0	167,571	D
Common Stock	09/11/2026		F		732	D	$12	166,839	D

Table II - Derivative Securities Acquired, Disposed of, or Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities)
1. Title of Derivative Security (Instr. 3)	2. Conversion or Exercise Price of Derivative Security	3. Transaction Date (Month/Day/Year)	3A. Deemed Execution Date, if any (Month/Day/Year)	4. Transaction Code (Instr. 8)		5. Number of Derivative Securities Acquired (A) or Disposed of (D) (Instr. 3, 4 and 5)		6. Date Exercisable and Expiration Date (Month/Day/Year)		7. Title and Amount of Securities Underlying Derivative Security (Instr. 3 and 4)		8. Price of Derivative Security (Instr. 5)	9. Number of derivative Securities Beneficially Owned Following Reported Transaction(s) (Instr. 4)	10. Ownership Form: Direct (D) or Indirect (I) (Instr. 4)	11. Nature of Indirect Beneficial Ownership (Instr. 4)
				Code	V	(A)	(D)	Date Exercisable	Expiration Date	Title	Amount or Number of Shares
Restricted Stock Units(1)	$0	09/11/2026		M			1,457	06/11/2025	06/11/2027	Common Stock	1,457	$0	4,371	D

Explanation of Responses:

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

	/s/ Wendi Ninh, Attorney-in-Fact	09/15/2026
	** 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 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.
* Form 4: SEC 1474 (03-26)