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SEC Filings
All companies that sell securities in the United States must register with the Securities and Exchange Commission (SEC) and file reports on a regular basis.
These reports include company annual reports (10K, 10Q), news updates (8K), investor presentations (found in 8Ks), insider trades (form 4), ownership reports (13D, and 13G), and reports related to the specific securities sold, such as registration statements and prospectus. This page shows recent SEC filings related to Harmonic Inc.
SEC Filings (Chronological Order)
Halaman ini menyediakan daftar lengkap dan kronologis dari Pengajuan SEC, tidak termasuk pengajuan kepemilikan yang kami sediakan di tempat lain.
| August 1, 2025 |
Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Form 10-Q (Mark One) ☒ Quarterly report pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 For the Quarterly Period Ended June 27, 2025 ☐ Transition report pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Commission File No. 000-25826 HARMONIC INC. (Exact name of regi |
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| July 28, 2025 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): July 28, 2025 HARMONIC INC. (Exact name of Registrant as specified in its charter) Delaware 000-25826 77-0201147 (State or other jurisdiction of incorporation) Commission File Number |
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| July 28, 2025 |
Exhibit 99.1 FOR IMMEDIATE RELEASE Harmonic Announces Second Quarter 2025 Results Surpassed top end of revenue and profitability guidance for both Broadband and Video SAN JOSE, California, July 28, 2025 - Harmonic Inc. (NASDAQ: HLIT) today announced its unaudited results for the second quarter of 2025. “Our team delivered strong second quarter results with revenue and profitability in both our Vid |
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| June 17, 2025 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): June 12, 2025 HARMONIC INC. (Exact name of Registrant as specified in its charter) Delaware 000-25826 77-0201147 (State or other jurisdiction of incorporation) Commission File Number |
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| June 12, 2025 |
Table 1: Newly Registered Securities Calculation of Filing Fee Tables S-8 HARMONIC INC Table 1: Newly Registered Securities Security Type Security Class Title Fee Calculation Rule Amount Registered Proposed Maximum Offering Price Per Unit Maximum Aggregate Offering Price Fee Rate Amount of Registration Fee 1 Equity common stock Other 500,000 $ 9. |
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| June 12, 2025 |
As filed with the Securities and Exchange Commission on June 12, 2025 Registration No. |
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| June 12, 2025 |
HARMONIC INC. 2002 EMPLOYEE STOCK PURCHASE PLAN (Amended and Restated, June 12, 2025) Exhibit 10.1 HARMONIC INC. 2002 EMPLOYEE STOCK PURCHASE PLAN (Amended and Restated, June 12, 2025) The following constitute the provisions of the 2002 Employee Stock Purchase Plan (the “Plan”) of Harmonic Inc. 1) Purpose. The purpose of the Plan is to provide employees of the Company and its Designated Companies with an opportunity to purchase Common Stock of the Company through accumulated payrol |
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| June 12, 2025 |
Exhibit 4.2 HARMONIC INC. 2025 EQUITY INCENTIVE PLAN RESTRICTED STOCK UNIT AGREEMENT NOTICE OF RESTRICTED STOCK UNIT GRANT Unless otherwise defined herein, each capitalized term used in this Restricted Stock Unit Agreement, which includes the Notice of Restricted Stock Unit Grant (the “Notice of Grant”), the Terms and Conditions of Restricted Stock Unit Grant, attached hereto as Exhibit A, and all |
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| June 12, 2025 |
HARMONIC INC. 2025 EQUITY INCENTIVE PLAN Exhibit 4.1 HARMONIC INC. 2025 EQUITY INCENTIVE PLAN 1.Purposes of the Plan. The purposes of the Plan are: •to attract and retain the best available personnel for positions of substantial responsibility, •to provide additional incentive to Employees, Directors and Consultants, and •to promote the success of the Company’s business. The Plan permits the grant of Incentive Stock Options, Nonstatutory |
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| June 12, 2025 |
HARMONIC INC. 2025 EQUITY INCENTIVE PLAN STOCK OPTION AGREEMENT NOTICE OF STOCK OPTION GRANT Exhibit 4.3 HARMONIC INC. 2025 EQUITY INCENTIVE PLAN STOCK OPTION AGREEMENT NOTICE OF STOCK OPTION GRANT Unless otherwise defined herein, each capitalized term used in this Stock Option Agreement, which includes the Notice of Stock Option Grant (the “Notice of Grant”), the Terms and Conditions of Stock Option Grant, attached hereto as Exhibit A, the Exercise Notice, attached hereto as Exhibit B, a |
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| May 29, 2025 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM SD Specialized Disclosure Report HARMONIC INC. (Exact name of Registrant as specified in its charter) Delaware 000-25826 77-0201147 (State or other jurisdiction of incorporation or organization) Commission File Number (I.R.S. Employer Identification Number) 2590 Orchard Parkway, San Jose, CA 95131 (Address of principal of |
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| May 29, 2025 |
Conflict Minerals Report as required by Items 1.01 and 1.02 of this Form SD Exhibit 1.01 Harmonic Inc. Conflict Minerals Report For the Year Ended December 31, 2024 This Conflict Minerals Report (“CMR”) of Harmonic Inc. (“Harmonic”) for the calendar year ended December 31, 2024 is presented to comply with Rule 13p-1 under the Securities Exchange Act of 1934 (the “Rule”). Unless otherwise defined herein, please refer to the Rule, our Specialized Disclosure Report on Form S |
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| May 1, 2025 |
Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Form 10-Q (Mark One) ☒ Quarterly report pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 For the Quarterly Period Ended March 28, 2025 ☐ Transition report pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Commission File No. 000-25826 HARMONIC INC. (Exact name of reg |
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| April 30, 2025 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 Filed by the Registrant ☒ Filed by a Party other than the Registrant ☐ Check the appropriate box: ☐ Preliminary Proxy Statement ☐ Confidential, for Use of the Commission Only (as permitted by Rule 1 |
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| April 30, 2025 |
TABLE OF CONTENTS UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 Filed by the Registrant ☒ Filed by a Party other than the Registrant ☐ Check the appropriate box: ☐ Preliminary Proxy Statement ☐ Confidential, for Use of the Commission Only (as p |
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| April 28, 2025 |
Exhibit 99.1 FOR IMMEDIATE RELEASE Harmonic Announces First Quarter 2025 Results Broadband gross margins and profitability exceeded expectations Strong Video results with revenue and profitability surpassing high end of guidance Robust cash flow generation resulted in cash balance of $149 million at quarter end SAN JOSE, California, April 28, 2025 - Harmonic Inc. (NASDAQ: HLIT) today announced its |
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| April 28, 2025 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): April 28, 2025 HARMONIC INC. (Exact name of Registrant as specified in its charter) Delaware 000-25826 77-0201147 (State or other jurisdiction of incorporation) Commission File Number |
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| February 26, 2025 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): February 20, 2025 HARMONIC INC. (Exact name of registrant as specified in its charter) Delaware 000-25826 77-0201147 (State or other jurisdiction of incorporation) Commission File Num |
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| February 14, 2025 |
Compensation Recovery Policy dated October 30, 2023 Exhibit 97.1 HARMONIC INC. COMPENSATION RECOVERY POLICY As adopted on October 30, 2023 Harmonic Inc. (the “Company”) is committed to strong corporate governance. As part of this commitment, the Compensation Committee of the Company’s Board of Directors (the “Committee”) has adopted this clawback policy called the Compensation Recovery Policy (the “Policy”). The Policy is intended to further the Co |
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| February 14, 2025 |
Table of Contents 2024 Annual Report Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D. |
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| February 14, 2025 |
Exhibit 21.1 HARMONIC INC. AND SUBSIDIARIES SUBSIDIARIES OF THE REGISTRANT The following table lists the direct and indirect subsidiaries of Harmonic Inc. as of December 31, 2024: Name State or Other Jurisdiction of Incorporation or Organization Harmonic Delaware, L.L.C. U.S.A. Harmonic Germany GmbH Germany Harmonic Japan GK Japan Harmonic India Private Limited India Harmonic International GmbH Sw |
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| February 14, 2025 |
HARMONIC INC. INSIDER TRADING COMPLIANCE PROGRAM Amended and Restated: May 3, 2023 In order to take an active role in the prevention of insider trading violations by its officers, directors, employees and other related individuals, Harmonic Inc. (the "Company") has adopted the policies and procedures described in this Memorandum. I.Adoption of Insider Trading Policy. The Company has adopted the In |
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| February 10, 2025 |
Financial Statements and Exhibits, Results of Operations and Financial Condition UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): February 10, 2025 HARMONIC INC. (Exact name of Registrant as specified in its charter) Delaware 000-25826 77-0201147 (State or other jurisdiction of incorporation) Commission File Num |
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| February 10, 2025 |
Exhibit 99.1 FOR IMMEDIATE RELEASE Harmonic Announces Fourth Quarter and Fiscal 2024 Results Record total quarterly revenue, up 33% year over year, and record quarterly Adjusted EBITDA Doubles previous stock repurchase program to $200 million SAN JOSE, California, February 10, 2025 - Harmonic Inc. (NASDAQ: HLIT) today announced its unaudited results for the fourth quarter and fiscal year ended Dec |
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| December 26, 2024 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): December 23, 2024 HARMONIC INC. (Exact name of registrant as specified in its charter) Delaware 000-25826 77-0201147 (State or other jurisdiction of incorporation) Commission File Num |
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| December 26, 2024 |
Changes in Control of Registrant UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): December 20, 2024 HARMONIC INC. (Exact name of registrant as specified in its charter) Delaware 000-25826 77-0201147 (State or other jurisdiction of incorporation) Commission File Num |
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| December 26, 2024 |
Execution Copy [Harmonic] Third Amendment to Credit Agreement #513967427 THIRD AMENDMENT TO CREDIT AGREEMENT (Incremental Amendment) This THIRD AMENDMENT TO CREDIT AGREEMENT, dated as of December 23, 2024 (this “Amendment”), is by and among HARMONIC INC. |
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| November 8, 2024 |
Invesco Joint Filing Agreement JOINT FILING AGREEMENT In accordance with Rule 13d-1(k) (l) under the Securities Exchange Act of 1934, as amended, the undersigned hereby agree to the joint filing of the attached Schedule 13G, and any and all amendments thereto, and expressly authorize Invesco Ltd. |
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| November 8, 2024 |
HLIT / Harmonic Inc. / WELLINGTON MANAGEMENT GROUP LLP - SEC SCHEDULE 13G Passive Investment SC 13G/A 1 SEC13GFiling.htm SEC SCHEDULE 13G UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. 2 )* Harmonic Inc. (Name of Issuer) Common Stock (Title of Class of Securities) 413160102 (CUSIP Number) September 30, 2024 (Date of Event Which Requires Filing of this Statement) Check the appropriate box to desi |
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| November 8, 2024 |
HLIT / Harmonic Inc. / Invesco Ltd. - SEC SCHEDULE 13G Passive Investment SC 13G 1 SEC13GFiling.htm SEC SCHEDULE 13G UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. )* Harmonic Inc (Name of Issuer) Common Stock (Title of Class of Securities) 413160102 (CUSIP Number) September 30, 2024 (Date of Event Which Requires Filing of this Statement) Check the appropriate box to designate |
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| November 8, 2024 |
JOINT FILING AGREEMENT The undersigned hereby agree that this Schedule 13G (the “Schedule 13G”) with respect to the common stock of Harmonic Inc. |
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| November 7, 2024 |
HLIT / Harmonic Inc. / Trigran Investments, Inc. - SC 13G/A Passive Investment UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G (Rule 13d-102) Information Statement Pursuant to Rules 13d-1 Under the Securities Exchange Act of 1934 (Amendment No. 2)* HARMONIC INC. (Name of Issuer) Common Stock, Par Value of $0.001 Per Share (Title of Class of Securities) 413160102 (CUSIP Number) September 30. 2024 Date of Event Which Requires Filing of the |
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| November 7, 2024 |
EXHIBIT 1: Agreement to Make a Joint Filing EX-1 2 tm2427429d3ex1.htm EXHIBIT 1 CUSIP No. 413160102 Schedule 13G Page 1 of 1 Exhibit 1 EXHIBIT 1 TO SCHEDULE 13G November 7, 2024 In accordance with Rule 13d-1(k)(1) under the Securities Exchange Act of 1934, as amended, TRIGRAN INVESTMENTS, INC., DOUGLAS GRANAT, LAWRENCE A. OBERMAN, STEVEN G. SIMON, BRADLEY F. SIMON and STEVEN R. MONIESON each hereby agree to the joint filing of this statemen |
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| November 1, 2024 |
HARMONIC INC. 2002 EMPLOYEE STOCK PURCHASE PLAN (Amended and Restated, June 11, 2024) Exhibit 10.1 HARMONIC INC. 2002 EMPLOYEE STOCK PURCHASE PLAN (Amended and Restated, June 11, 2024) The following constitute the provisions of the 2002 Employee Stock Purchase Plan (the “Plan”) of Harmonic Inc. 1) Purpose. The purpose of the Plan is to provide employees of the Company and its Designated Companies with an opportunity to purchase Common Stock of the Company through accumulated payrol |
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| November 1, 2024 |
As filed with the Securities and Exchange Commission on November 1, 2024 Registration No. |
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| November 1, 2024 |
Table 1: Newly Registered Securities Calculation of Filing Fee Tables S-8 HARMONIC INC Table 1: Newly Registered Securities Security Type Security Class Title Fee Calculation Rule Amount Registered Proposed Maximum Offering Price Per Unit Maximum Aggregate Offering Price Fee Rate Amount of Registration Fee 1 Equity common stock Other 400,000 $ 12. |
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| November 1, 2024 |
HARMONIC INC. 1995 STOCK PLAN (Amended and Restated, June 11, 2024) Exhibit 10.2 HARMONIC INC. 1995 STOCK PLAN (Amended and Restated, June 11, 2024) 1) Purposes of the Plan. The purposes of this Stock Plan are: (a) to attract and retain the best available personnel for positions of substantial responsibility, (b) to provide additional incentive to Employees and Consultants, and (c) to promote the success of the Company’s business. Awards granted under the Plan may |
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| November 1, 2024 |
Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Form 10-Q (Mark One) ☒ Quarterly report pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 For the Quarterly Period Ended September 27, 2024 ☐ Transition report pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Commission File No. 000-25826 HARMONIC INC. (Exact name of |
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| October 28, 2024 |
Exhibit 99.1 FOR IMMEDIATE RELEASE Harmonic Announces Third Quarter 2024 Results Record revenue with Broadband revenue up 92% year over year Video returned to profitability with greater than 10% Adjusted EBITDA margin SAN JOSE, California, October 28, 2024 - Harmonic Inc. (NASDAQ: HLIT) today announced its unaudited results for the third quarter of 2024. “Our third quarter results demonstrated str |
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| October 28, 2024 |
Financial Statements and Exhibits, Results of Operations and Financial Condition UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): October 28, 2024 HARMONIC INC. (Exact name of Registrant as specified in its charter) Delaware 000-25826 77-0201147 (State or other jurisdiction of incorporation) Commission File Numb |
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| August 21, 2024 |
Harmonic Reappoints Dan Whalen to its Board of Directors Exhibit 99.1 For Immediate Release Harmonic Reappoints Dan Whalen to its Board of Directors SAN JOSE, Calif.- August 21, 2024 - Harmonic (NASDAQ: HLIT) today announced the reappointment of Dan Whalen to the company’s board of directors, which he previously served on from 2021 to 2023. “I’m very pleased to welcome Dan back to our board,” said Nimrod Ben-Natan, president and CEO of Harmonic. “Dan ma |
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| August 21, 2024 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): August 19, 2024 HARMONIC INC. (Exact name of registrant as specified in its charter) Delaware 000-25826 77-0201147 (State or other jurisdiction of incorporation) Commission File Numbe |
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| August 2, 2024 |
Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Form 10-Q (Mark One) ☒ Quarterly report pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 For the Quarterly Period Ended June 28, 2024 ☐ Transition report pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Commission File No. 000-25826 HARMONIC INC. (Exact name of regi |
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| July 29, 2024 |
Exhibit 99.1 FOR IMMEDIATE RELEASE Harmonic Announces Second Quarter 2024 Results Revenue of $138.7 million up 14% quarter over quarter at high end of guidance Reaffirming Broadband and Video Full Year Revenue Guidance SAN JOSE, California, July 29, 2024 - Harmonic Inc. (NASDAQ: HLIT) today announced its unaudited results for the second quarter of 2024. “Our second quarter revenue was at the high |
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| July 29, 2024 |
Financial Statements and Exhibits, Results of Operations and Financial Condition UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): July 29, 2024 HARMONIC INC. (Exact name of Registrant as specified in its charter) Delaware 000-25826 77-0201147 (State or other jurisdiction of incorporation) Commission File Number |
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| July 23, 2024 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): July 23, 2024 HARMONIC INC. (Exact name of registrant as specified in its charter) Delaware 000-25826 77-0201147 (State or other jurisdiction of incorporation) Commission File Number |
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| July 23, 2024 |
Harmonic Appoints Neel Dev to its Board of Directors Exhibit 99.1 Harmonic Appoints Neel Dev to its Board of Directors SAN JOSE, Calif.— July 23, 2024 — Harmonic (NASDAQ: HLIT) today announced it has expanded the company’s board of directors with the appointment of Neel Dev. “I’m delighted to welcome Neel to our board,” said Nimrod Ben-Natan, president and CEO of Harmonic. “His extensive finance and operational leadership experience in the telecom a |
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| July 12, 2024 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D (Rule 13d-101) INFORMATION TO BE INCLUDED IN STATEMENTS FILED PURSUANT TO § 240.13d-1(a) AND AMENDMENTS THERETO FILED PURSUANT TO § 240.13d-2(a) (Amendment No. 1)1 Harmonic Inc. (Name of Issuer) Common Stock, $0.001 par value per share (Title of Class of Securities) 413160102 (CUSIP Number) AARON MORSE SCOPIA CAPI |
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| June 13, 2024 |
Submission of Matters to a Vote of Security Holders UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): June 11, 2024 HARMONIC INC. (Exact name of Registrant as specified in its charter) Delaware 000-25826 77-0201147 (State or other jurisdiction of incorporation) Commission File Number |
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| May 31, 2024 |
Harmonic Inc. Conflict Minerals Report For the Year Ended December 31, 2023 Exhibit 1.01 Harmonic Inc. Conflict Minerals Report For the Year Ended December 31, 2023 This Conflict Minerals Report (“CMR”) of Harmonic Inc. (“Harmonic”) for the calendar year ended December 31, 2023 is presented to comply with Rule 13p-1 under the Securities Exchange Act of 1934 (the “Rule”). Unless otherwise defined herein, please refer to the Rule, our Specialized Disclosure Report on Form S |
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| May 31, 2024 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM SD Specialized Disclosure Report HARMONIC INC. (Exact name of Registrant as specified in its charter) Delaware 000-25826 77-0201147 (State or other jurisdiction of incorporation or organization) Commission File Number (I.R.S. Employer Identification Number) 2590 Orchard Parkway, San Jose, CA 95131 (Address of principal of |
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| May 24, 2024 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A PROXY STATEMENT PURSUANT TO SECTION 14(a) OF THE SECURITIES EXCHANGE ACT OF 1934 Filed by the Registrant ☒ Filed by a Party other than the Registrant ☐ Check the appropriate box: ☐ Preliminary Proxy Statement ☐ Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e)(2)) ☐ Definitive Proxy State |
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| May 2, 2024 |
Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Form 10-Q (Mark One) ☒ Quarterly report pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 For the Quarterly Period Ended March 29, 2024 ☐ Transition report pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Commission File No. 000-25826 HARMONIC INC. (Exact name of reg |
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| April 29, 2024 |
TABLE OF CONTENTS UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 Filed by the Registrant ☒ Filed by a Party other than the Registrant ☐ Check the appropriate box: ☐ Preliminary Proxy Statement ☐ Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e)(2)) ☒ Defi |
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| April 29, 2024 |
Exhibit 10.1 April 29, 2024 Nimrod Ben-Natan Re: CEO Appointment Letter Dear Nimrod: Harmonic Video Networks Ltd. (the “Company”) is pleased to extend to you continued employment with the Company, as the President and Chief Executive Officer (“CEO”) of Harmonic Inc. (“Harmonic”) effective as of June 11, 2024 (the “Effective Date”). Harmonic and its subsidiaries are referred to herein as the “Compa |
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| April 29, 2024 |
Exhibit 99.1 FOR IMMEDIATE RELEASE Harmonic Announces First Quarter 2024 Results Results in Line with Guidance Reaffirming Broadband Full Year Revenue Guidance Increasing Full Year Video EBITDA Guidance SAN JOSE, California, April 29, 2024 - Harmonic Inc. (NASDAQ: HLIT) today announced its unaudited results for the first quarter of 2024. “Our first quarter results were within our guidance range an |
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| April 29, 2024 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): April 29, 2024 HARMONIC INC. (Exact name of Registrant as specified in its charter) Delaware 000-25826 77-0201147 (State or other jurisdiction of incorporation) Commission File Number |
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| April 29, 2024 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 Filed by the Registrant ☒ Filed by a Party other than the Registrant ☐ Check the appropriate box: ☐ Preliminary Proxy Statement ☐ Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e)(2)) ☐ Definitive Proxy State |
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| April 29, 2024 |
Consulting Agreement between the Company and Patrick Harshman, signed April 29, 2024. Exhibit 10.3 HARMONIC INC. CONSULTING AGREEMENT This Consulting Agreement (this “Agreement”) is made and entered into effective as of June 11, 2024 (the “Effective Date”) by and between Harmonic Inc., a Delaware corporation (the “Company”), and Patrick J. Harshman (“Consultant”) (each herein referred to individually as a “Party,” or collectively as the “Parties”). The Company desires to retain Con |
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| April 29, 2024 |
Exhibit 10.2 HARMONIC INC. CHANGE OF CONTROL SEVERANCE AGREEMENT This Change of Control Severance Agreement (the "Agreement") was originally entered into by and between Nimrod Ben-Natan (the "Employee") and Harmonic Inc. (the "Company") on April 11, 2008, and amended on September 25, 2017 and March 20, 2018. Effective as of June 11, 2024, this Agreement is amended and restated as set forth below. |
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| April 26, 2024 |
EX-99.1 2 ex991to13d0677702304262024.htm JOINT FILING AGREEMENT Exhibit 99.1 JOINT FILING AGREEMENT In accordance with Rule 13d-1(k)(1)(iii) under the Securities Exchange Act of 1934, as amended, the persons named below agree to the joint filing on behalf of each of them of a Statement on Schedule 13D (including additional amendments thereto) with respect to the Common Stock, par value $0.001 per |
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| April 26, 2024 |
HLIT / Harmonic Inc. / SCOPIA CAPITAL MANAGEMENT LP - SCHEDULE 13D Activist Investment SC 13D 1 sc13d0677702304262024.htm SCHEDULE 13D UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D (Rule 13d-101) INFORMATION TO BE INCLUDED IN STATEMENTS FILED PURSUANT TO § 240.13d-1(a) AND AMENDMENTS THERETO FILED PURSUANT TO § 240.13d-2(a) (Amendment No. )1 Harmonic Inc. (Name of Issuer) Common Stock, $0.001 par value per share (Title of Class of Securities) 4 |
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| April 18, 2024 |
Settlement Agreement by and between the Company and Ian Graham dated April 15, 2024. Exhibit 10.1 SETTLEMENT AGREEMENT THIS AGREEMENT is made on 15 April 2024 BETWEEN: (1) HARMONIC (UK) LIMITED whose registered office is at Eversheds House, 70 Great Bridgewater Street, Manchester, M1 5ES (the Employer); and (2) IAN BLAIR GRAHAM (the Employee) 1. PERMITTED DISCLOSURES 1.1 Nothing in this agreement prevents the parties from making a disclosure: 1.1.1 which amounts to a protected dis |
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| April 18, 2024 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): April 15, 2024 HARMONIC INC. (Exact name of registrant as specified in its charter) Delaware 000-25826 77-0201147 (State or other jurisdiction of incorporation) Commission File Number |
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| April 8, 2024 |
Exhibit 99.1 Harmonic Announces CEO Succession Nimrod Ben-Natan to Succeed Patrick Harshman as President & CEO, Effective June 11, 2024 Concludes Video Business Strategic Review Process Updates First Quarter 2024 Revenue Guidance SAN JOSE, Calif., April 8, 2024 /PRNewswire/ - Harmonic (NASDAQ: HLIT) today announced that Patrick Harshman will retire as President and Chief Executive Officer, effecti |
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| April 8, 2024 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): April 8, 2024 HARMONIC INC. (Exact name of registrant as specified in its charter) Delaware 000-25826 77-0201147 (State or other jurisdiction of incorporation) Commission File Number |
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| February 16, 2024 |
Exhibit 21.1 HARMONIC INC. AND SUBSIDIARIES SUBSIDIARIES OF THE REGISTRANT The following table lists the direct and indirect subsidiaries of Harmonic Inc. as of December 31, 2023: Name State or Other Jurisdiction of Incorporation or Organization Harmonic Delaware, L.L.C. U.S.A. Harmonic Germany GmbH Germany Harmonic Japan GK Japan Harmonic India Private Limited India Harmonic International GmbH Sw |
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| February 16, 2024 |
Compensation Recovery Policy dated October 30, 2023 Exhibit 97.1 HARMONIC INC. COMPENSATION RECOVERY POLICY As adopted on October 30, 2023 Harmonic Inc. (the “Company”) is committed to strong corporate governance. As part of this commitment, the Compensation Committee of the Company’s Board of Directors (the “Committee”) has adopted this clawback policy called the Compensation Recovery Policy (the “Policy”). The Policy is intended to further the Co |
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| February 16, 2024 |
Table of Contents 2023 Annual Report Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D. |
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| February 13, 2024 |
HLIT / Harmonic Inc. / VANGUARD GROUP INC - SCHEDULE 13G/A Passive Investment SC 13G/A 1 tv01075-harmonicinc.htm SCHEDULE 13G/A SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Schedule 13G Under the Securities Exchange Act of 1934 (Amendment No.: 12)* Name of issuer: Harmonic Inc Title of Class of Securities: Common Stock CUSIP Number: 413160102 Date of Event Which Requires Filing of this Statement: December 29, 2023 Check the appropriate box to designate the rule |
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| February 9, 2024 |
HLIT / Harmonic Inc. / Trigran Investments, Inc. - SC 13G/A Passive Investment SC 13G/A 1 tm243940d3sc13ga.htm SC 13G/A UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G (Rule 13d-102) Information Statement Pursuant to Rules 13d-1 Under the Securities Exchange Act of 1934 (Amendment No. 1)* HARMONIC INC. (Name of Issuer) Common Stock, Par Value of $0.001 Per Share (Title of Class of Securities) 413160102 (CUSIP Number) December 31, 2023 Dat |
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| February 9, 2024 |
HLIT / Harmonic Inc. / WELLINGTON MANAGEMENT GROUP LLP - SEC SCHEDULE 13G Passive Investment UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. 1 )* Harmonic Inc. (Name of Issuer) Common Stock (Title of Class of Securities) 413160102 (CUSIP Number) December 29, 2023 (Date of Event Which Requires Filing of this Statement) Check the appropriate box to designate the rule pursuant to which this Schedule |
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| February 9, 2024 |
EXHIBIT 1: Agreement to Make a Joint Filing EX-1 2 tm243940d3ex1.htm EXHIBIT 1 CUSIP No. 413160102 Schedule 13G Page 1 of 1 Exhibit 1 EXHIBIT 1 TO SCHEDULE 13G February 9, 2024 In accordance with Rule 13d-1(k)(1) under the Securities Exchange Act of 1934, as amended, TRIGRAN INVESTMENTS, INC., DOUGLAS GRANAT, LAWRENCE A. OBERMAN, STEVEN G. SIMON, BRADLEY F. SIMON and STEVEN R. MONIESON each hereby agree to the joint filing of this statement |
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| January 31, 2024 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K/A CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): January 30, 2024 HARMONIC INC. (Exact name of Registrant as specified in its charter) Delaware 000-25826 77-0201147 (State or other jurisdiction of incorporation) Commission File Nu |
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| January 30, 2024 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): January 30, 2024 HARMONIC INC. (Exact name of Registrant as specified in its charter) Delaware 000-25826 77-0201147 (State or other jurisdiction of incorporation) Commission File Numb |
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| January 29, 2024 |
Financial Statements and Exhibits, Results of Operations and Financial Condition UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): January 29, 2024 HARMONIC INC. (Exact name of Registrant as specified in its charter) Delaware 000-25826 77-0201147 (State or other jurisdiction of incorporation) Commission File Numb |
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| January 29, 2024 |
Exhibit 99.1 FOR IMMEDIATE RELEASE Harmonic Announces Fourth Quarter and Fiscal 2023 Results Record quarterly total revenue of $167.1 million, up 31% quarter over quarter Broadband revenue up 20% and Video SaaS revenue up 26% year over year SAN JOSE, California, January 29, 2024 - Harmonic Inc. (NASDAQ: HLIT) today announced its unaudited results for the fourth quarter and fiscal year ended Decemb |
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| January 22, 2024 |
SC 13D/A 1 sc13da10677702301222024.htm AMENDMENT NO. 1 TO THE SCHEDULE 13D UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D (Rule 13d-101) INFORMATION TO BE INCLUDED IN STATEMENTS FILED PURSUANT TO § 240.13d-1(a) AND AMENDMENTS THERETO FILED PURSUANT TO § 240.13d-2(a) (Amendment No. 1)1 Harmonic Inc. (Name of Issuer) Common Stock, $0.001 par value per share (Tit |
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| December 21, 2023 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): December 21, 2023 HARMONIC INC. (Exact name of registrant as specified in its charter) Delaware 000-25826 77-0201147 (State or other jurisdiction of incorporation) Commission File Num |
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| December 21, 2023 |
Execution Copy [Harmonic] Credit Agreement #231730035 CREDIT AGREEMENT Dated as of December 21, 2023 among HARMONIC INC. |
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| December 6, 2023 |
Exhibit 10.1 HARMONIC INC. CHANGE OF CONTROL SEVERANCE AGREEMENT This Change of Control Severance Agreement (the “Agreement”) was originally made and entered into by and between Neven Haltmayer (the “Employee”) and Harmonic Inc. (the “Company”) on April 19, 2007, and amended on September 25, 2017 and March 20, 2018. Effective as of November 30, 2023, this Agreement is further amended and restated |
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| December 6, 2023 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): November 30, 2023 HARMONIC INC. (Exact name of registrant as specified in its charter) Delaware 000-25826 77-0201147 (State or other jurisdiction of incorporation) Commission File Num |
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| November 3, 2023 |
As filed with the Securities and Exchange Commission on November 3, 2023 Registration No. |
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| November 3, 2023 |
November 3, 2023 VIA EDGAR SUBMISSION Securities and Exchange Commission Division of Corporation Finance Office of Manufacturing 100 F Street, N. |
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| November 3, 2023 |
Amended and Restated Bylaws of Harmonic Inc. Exhibit 3.2 AMENDED AND RESTATED BYLAWS OF HARMONIC INC. (a Delaware corporation) (as amended on May 3, 2023) TABLE OF CONTENTS ARTICLE I CORPORATE OFFICES 1 1.1 REGISTERED OFFICE 1 1.2 OTHER OFFICES 1 ARTICLE II MEETINGS OF STOCKHOLDERS 1 2.1 PLACE OF MEETINGS 1 2.2 ANNUAL MEETING 1 2.3 SPECIAL MEETING 2 2.4 NOTICE OF STOCKHOLDERS’ MEETINGS 2 2.5 ADVANCE NOTICE OF STOCKHOLDER NOMINEES AND STOCKHO |
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| November 3, 2023 |
HARMONIC INC. 2002 EMPLOYEE STOCK PURCHASE PLAN (Amended and Restated, June 23, 2023) Exhibit 10.1 HARMONIC INC. 2002 EMPLOYEE STOCK PURCHASE PLAN (Amended and Restated, June 23, 2023) The following constitute the provisions of the 2002 Employee Stock Purchase Plan (the “Plan”) of Harmonic Inc. 1) Purpose. The purpose of the Plan is to provide employees of the Company and its Designated Companies with an opportunity to purchase Common Stock of the Company through accumulated payrol |
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| November 3, 2023 |
Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Form 10-Q (Mark One) ☒ Quarterly report pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 For the Quarterly Period Ended September 29, 2023 ☐ Transition report pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Commission File No. 000-25826 HARMONIC INC. (Exact name of |
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| November 3, 2023 |
Exhibit 107.1 Calculation of Filing Fee Tables Form S-8 (Form Type) Harmonic Inc. (Exact name of registrant as specified in its charter) Table 1 – Newly Registered Securities Security Type Security Class Title Fee Calculation Rule Amount Registered(1) Proposed Maximum Offering Price Per Unit Maximum Aggregate Offering Price Fee Rate Amount of Registration Fee Equity Common Stock, $0.001 par value |
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| October 30, 2023 |
Financial Statements and Exhibits, Results of Operations and Financial Condition UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): October 30, 2023 HARMONIC INC. (Exact name of Registrant as specified in its charter) Delaware 000-25826 77-0201147 (State or other jurisdiction of incorporation) Commission File Numb |
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| October 30, 2023 |
Harmonic Announces Third Quarter 2023 Results Video SaaS revenue up 42% year over year Exhibit 99.1 FOR IMMEDIATE RELEASE Harmonic Announces Third Quarter 2023 Results Video SaaS revenue up 42% year over year SAN JOSE, California, October 30, 2023 - Harmonic Inc. (NASDAQ: HLIT) today announced its unaudited results for the third quarter of 2023. “Today we reported third quarter results that were within our guidance range, despite the challenging macro-economic and carrier spending e |
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| October 4, 2023 |
Exhibit 10.1 FIFTH AMENDMENT TO CREDIT AGREEMENT THIS FIFTH AMENDMENT TO CREDIT AGREEMENT (the “Amendment”), dated as of September 29, 2023 (the “Fifth Amendment Effective Date”), is among HARMONIC INC. and HARMONIC INTERNATIONAL GmbH, as Borrowers, the other Loan Parties party hereto, and JPMORGAN CHASE BANK, N.A., as Lender. RECITALS: The Borrowers and the Lender have entered into that certain C |
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| October 4, 2023 |
October 4, 2023 VIA EDGAR SUBMISSION Securities and Exchange Commission Division of Corporation Finance Office of Manufacturing 100 F Street, N. |
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| October 4, 2023 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): September 29, 2023 HARMONIC INC. (Exact name of registrant as specified in its charter) Delaware 000-25826 77-0201147 (State or other jurisdiction of incorporation) Commission File Nu |
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| October 4, 2023 |
Exhibit 10.2 MASTER RECEIVABLES PURCHASE AGREEMENT This MASTER RECEIVABLES PURCHASE AGREEMENT (as it may be amended, restated, supplemented or otherwise modified from time to time, this “Agreement”) is made as of September 29, 2023 among HARMONIC INC., a Delaware corporation (the “Company”), as a seller and a servicer hereunder, and such Subsidiaries of the Company, if any, as may become party her |
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| October 2, 2023 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Form 10-K/A UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Form 10-K/A (Mark One) ý ANNUAL REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the fiscal year ended December 31, 2022 ¨ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 Commission File No. 000-25826 HARMONIC INC. (Exact name of registrant as specified |
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| September 21, 2023 |
EX-99.1 2 ex991to13d0677702309212023.htm JOINT FILING AGREEMENT Exhibit 99.1 JOINT FILING AGREEMENT In accordance with Rule 13d-1(k)(1)(iii) under the Securities Exchange Act of 1934, as amended, the persons named below agree to the joint filing on behalf of each of them of a Statement on Schedule 13D (including additional amendments thereto) with respect to the Common Stock, par value $0.001 per |
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| September 21, 2023 |
HLIT / Harmonic, Inc. / SCOPIA CAPITAL MANAGEMENT LP - SCHEDULE 13D Activist Investment UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D (Rule 13d-101) INFORMATION TO BE INCLUDED IN STATEMENTS FILED PURSUANT TO § 240.13d-1(a) AND AMENDMENTS THERETO FILED PURSUANT TO § 240.13d-2(a) (Amendment No. )1 Harmonic Inc. (Name of Issuer) Common Stock, $0.001 par value per share (Title of Class of Securities) 413160102 (CUSIP Number) SAMANTHA NASELLO SCOPIA |
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| September 6, 2023 |
Wilson Sonsini Goodrich & Rosati Professional Corporation 650 Page Mill Road Palo Alto, California 94304-1050 o: 650. |
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| August 4, 2023 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Form 10-Q Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Form 10-Q (Mark One) ☒ Quarterly report pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 For the Quarterly Period Ended June 30, 2023 ☐ Transition report pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Commission File No. 000-25826 HARMONIC INC. (Exact name of regi |
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| July 31, 2023 |
Exhibit 99.1 FOR IMMEDIATE RELEASE Harmonic Announces Second Quarter 2023 Results Broadband revenue up 20% and Video SaaS revenue up 58% year over year SAN JOSE, California, July 31, 2023 - Harmonic Inc. (NASDAQ: HLIT) today announced its unaudited results for the second quarter of 2023. “While we achieved double digit year over year Broadband and Video SaaS revenue growth and strong gross margins |
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| July 31, 2023 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): July 31, 2023 HARMONIC INC. (Exact name of Registrant as specified in its charter) Delaware 000-25826 77-0201147 (State or other jurisdiction of incorporation) Commission File Number |
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| June 26, 2023 |
Submission of Matters to a Vote of Security Holders UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): June 23, 2023 HARMONIC INC. (Exact name of Registrant as specified in its charter) Delaware 000-25826 77-0201147 (State or other jurisdiction of incorporation) Commission File Number |
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| June 2, 2023 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM SD Specialized Disclosure Report HARMONIC INC. (Exact name of Registrant as specified in its charter) Delaware 000-25826 77-0201147 (State or other jurisdiction of incorporation or organization) Commission File Number (I.R.S. Employer Identification Number) 2590 Orchard Parkway, San Jose, CA 95131 (Address of principal of |
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| June 2, 2023 |
Conflict Minerals Report as required by Items 1.01 a EX-1.01 2 exhibit101toformsdfy2022.htm EX-1.01 Exhibit 1.01 Harmonic Inc. Conflict Minerals Report For the Year Ended December 31, 2022 This Conflict Minerals Report (“CMR”) of Harmonic Inc. (“Harmonic”) for the calendar year ended December 31, 2022 is presented to comply with Rule 13p-1 under the Securities Exchange Act of 1934 (the “Rule”). Unless otherwise defined herein, please refer to the Ru |
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| May 22, 2023 |
Change of Control Severance Agreement between Harmonic Inc. and Walter Jankovic, dated May 22, 2023 Exhibit 10.2 HARMONIC INC. CHANGE OF CONTROL SEVERANCE AGREEMENT This Change of Control Severance Agreement (the "Agreement") is entered into by and between Walter Jankovic (the "Employee") and Harmonic Inc. (the "Company") as of May 22, 2023. RECITALS A. It is expected that the Company from time to time will consider the possibility of an acquisition by another company or other Change of Control. |
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| May 22, 2023 |
Offer Letter between Harmonic Inc. and Walter Jankovic, dated May 8, 2023 Exhibit 10.2 May 8, 2023 Walter Jankovic Dear Walter, I am pleased to offer you the position of Chief Financial Officer, reporting directly to me. You will receive a starting bi-weekly salary of $16,923.00, which equates to $440,000.00 on an annualized basis (for computational purposes only). You will also be eligible to participate in the 2023 Key Contributor Incentive Plan at a target payout of |
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| May 22, 2023 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): May 22, 2023 HARMONIC INC. (Exact name of Registrant as specified in its charter) Delaware 000-25826 77-0201147 (State or other jurisdiction of incorporation) Commission File Number ( |
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| May 22, 2023 |
Harmonic Appoints Walter Jankovic as Chief Financial Officer Exhibit 99.1 Harmonic Appoints Walter Jankovic as Chief Financial Officer SAN JOSE, Calif., May 22, 2023 — Harmonic Inc. (NASDAQ: HLIT) today announced that it has appointed Walter Jankovic as chief financial officer, effective immediately. Mr. Jankovic brings over 30 years of executive experience from a range of leading technology companies. He was most recently senior vice president and general |
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| May 9, 2023 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Form 10-Q Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Form 10-Q (Mark One) ☒ Quarterly report pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 For the Quarterly Period Ended March 31, 2023 ☐ Transition report pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Commission File No. 000-25826 HARMONIC INC. (Exact name of reg |
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| May 9, 2023 |
Amended and Restated Bylaws of Harmonic Inc. hlit-20230331ex32 Exhibit 3.2 AMENDED AND RESTATED BYLAWS OF HARMONIC INC. (a Delaware corporation) (as amended on May 3, 2023) TABLE OF CONTENTS ARTICLE I CORPORATE OFFICES.................................................................................................. 1 1.1 REGISTERED OFFICE ............................................................................................... 1 1.2 OT |
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| May 8, 2023 |
Exhibit 99.1 FOR IMMEDIATE RELEASE Harmonic Announces First Quarter 2023 Results Broadband revenue up 23% and Video SaaS revenue up 72% year over year SAN JOSE, California, May 8, 2023 - Harmonic Inc. (NASDAQ: HLIT) today announced its unaudited results for the first quarter of 2023. “Harmonic delivered strong results for the first quarter of 2023 highlighted by record first quarter revenue and so |
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| May 8, 2023 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): May 8, 2023 HARMONIC INC. (Exact name of Registrant as specified in its charter) Delaware 000-25826 77-0201147 (State or other jurisdiction of incorporation) Commission File Number (I |
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| April 28, 2023 |
TABLE OF CONTENTS UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 Filed by the Registrant ☒ Filed by a Party other than the Registrant ☐ Check the appropriate box: ☐ Preliminary Proxy Statement ☐ Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e)(2)) ☒ Defi |
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| April 28, 2023 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 Filed by the Registrant ☒ Filed by a Party other than the Registrant ☐ Check the appropriate box: ☐ Preliminary Proxy Statement ☐ Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e)(2)) ☐ Definitive Proxy State |
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| April 12, 2023 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D (Rule 13d-101) INFORMATION TO BE INCLUDED IN STATEMENTS FILED PURSUANT TO § 240.13d-1(a) AND AMENDMENTS THERETO FILED PURSUANT TO § 240.13d-2(a) (Amendment No. 7)1 Harmonic Inc. (Name of Issuer) Common Stock, $0.001 par value per share (Title of Class of Securities) 413160102 (CUSIP Number) SAMANTHA NASELLO SCOPIA |
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| February 28, 2023 |
Amended and Restated Bylaws of Harmonic Inc. Exhibit 3.2 AMENDED AND RESTATED BYLAWS OF HARMONIC INC. (a Delaware corporation) TABLE OF CONTENTS Page ARTICLE I CORPORATE OFFICES 1 1.1 REGISTERED OFFICE 1 1.2 OTHER OFFICES 1 ARTICLE II MEETINGS OF STOCKHOLDERS 1 2.1 PLACE OF MEETINGS 1 2.2 ANNUAL MEETING 1 2.3 SPECIAL MEETING 2 2.4 NOTICE OF STOCKHOLDERS’ MEETINGS 2 2.5 ADVANCE NOTICE OF STOCKHOLDER NOMINEES AND STOCKHOLDER BUSINESS 2 2.6 MAN |
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| February 28, 2023 |
HARMONIC INC. AND SUBSIDIARIES SUBSIDIARIES OF THE REGISTRANT The following table lists the direct and indirect subsidiaries of Harmonic Inc. as of December 31, 2022: Name State or Other Jurisdiction of Incorporation or Organization Harmonic Delaware, L.L.C. U.S.A. Harmonic Germany GmbH Germany Harmonic Japan GK Japan Harmonic India Private Limited India Harmonic International GmbH Switzerland Har |
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| February 28, 2023 |
Table of Contents 2022 Annual Report Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D. |
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| February 28, 2023 |
Harmonic Inc. 2002 Director Stock Plan Restricted Stock Unit Agreement Exhibit 10.7 HARMONIC INC. 2002 DIRECTOR STOCK PLAN RESTRICTED STOCK UNIT AGREEMENT Unless otherwise defined herein, the terms defined in the Harmonic Inc. 2002 Director Stock Plan, as amended (the “Plan”), will have the same defined meanings in this Restricted Stock Unit Agreement (the “Agreement”). NOTICE OF RESTRICTED STOCK UNIT GRANT Grantee Name: Address: You have been granted the right to re |
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| February 16, 2023 |
Harmonic Announces CFO Transition EX-99.1 2 hlit-20230216pressrelease.htm EX-99.1 Exhibit 99.1 FOR IMMEDIATE RELEASE Harmonic Announces CFO Transition SAN JOSE, California, February 16, 2023 - Harmonic Inc. (NASDAQ: HLIT) today announced that Sanjay Kalra, senior vice president and chief financial officer, will resign from his position, effective March 3, 2023, to pursue other opportunities. Jeremy Rosenberg, currently Harmonic’s |
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| February 16, 2023 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): February 15, 2023 HARMONIC INC. (Exact name of Registrant as specified in its charter) Delaware 000-25826 77-0201147 (State or other jurisdiction of incorporation) Commission File Num |
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| February 10, 2023 |
CUSIP No. 413160102 Schedule 13G Page 1 of 1 Exhibit 1 EXHIBIT 1 TO SCHEDULE 13G February 10, 2023 In accordance with Rule 13d-1(k)(1) under the Securities Exchange Act of 1934, as amended, TRIGRAN INVESTMENTS, INC., DOUGLAS GRANAT, LAWRENCE A. OBERMAN, STEVEN G. SIMON, BRADLEY F. SIMON and STEVEN R. MONIESON each hereby agree to the joint filing of this statement on Schedule 13G (including any an |
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| February 10, 2023 |
HLIT / Harmonic Inc / Trigran Investments, Inc. - SC 13G Passive Investment UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G (Rule 13d-102) Information Statement Pursuant to Rules 13d-1 Under the Securities Exchange Act of 1934 (Amendment No.)* HARMONIC INC. (Name of Issuer) Common Stock, Par Value of $0.001 Per Share (Title of Class of Securities) 413160102 (CUSIP Number) December 31, 2022 Date of Event Which Requires Filing of the Sta |
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| February 9, 2023 |
HLIT / Harmonic Inc / VANGUARD GROUP INC - SCHEDULE 13G/A Passive Investment SC 13G/A 1 tv01039-harmonicinc.htm SCHEDULE 13G/A SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Schedule 13G Under the Securities Exchange Act of 1934 (Amendment No.: 11)* Name of issuer: Harmonic Inc. Title of Class of Securities: Common Stock CUSIP Number: 413160102 Date of Event Which Requires Filing of this Statement: December 30, 2022 Check the appropriate box to designate the rul |
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| February 6, 2023 |
HLIT / Harmonic Inc / WELLINGTON MANAGEMENT GROUP LLP - SEC SCHEDULE 13G Passive Investment UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. )* Harmonic Inc. (Name of Issuer) Common Stock (Title of Class of Securities) 413160102 (CUSIP Number) December 30, 2022 (Date of Event Which Requires Filing of this Statement) Check the appropriate box to designate the rule pursuant to which this Schedule i |
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| January 30, 2023 |
Exhibit 99.1 FOR IMMEDIATE RELEASE Harmonic Announces Fourth Quarter and Fiscal 2022 Results Record quarterly total revenue of $164.3 million Broadband revenue up 38% and Video SaaS revenue up 51% year over year SAN JOSE, California, January 30, 2023 - Harmonic Inc. (NASDAQ: HLIT) today announced its unaudited results for the fourth quarter and fiscal year ended December 31, 2022. “Harmonic delive |
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| January 30, 2023 |
Financial Statements and Exhibits, Results of Operations and Financial Condition UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): January 30, 2023 HARMONIC INC. (Exact name of Registrant as specified in its charter) Delaware 000-25826 77-0201147 (State or other jurisdiction of incorporation) Commission File Numb |
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| December 9, 2022 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): December 1, 2022 HARMONIC INC. (Exact name of Registrant as specified in its charter) Delaware 000-25826 77-0201147 (State or other jurisdiction of incorporation) Commission File Numb |
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| November 4, 2022 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Form 10-Q Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Form 10-Q (Mark One) ☒ Quarterly report pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 For the Quarterly Period Ended September 30, 2022 ☐ Transition report pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Commission File No. 000-25826 HARMONIC INC. (Exact name of |
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| November 2, 2022 |
, by and among Harmonic Inc., Harmonic International GmbH and JP Morgan Chase Bank, N.A. FOURTH AMENDMENT TO CREDIT AGREEMENT THIS FOURTH AMENDMENT TO CREDIT AGREEMENT (the ?Amendment?), dated as of October 28, 2022 (the ?Fourth Amendment Effective Date?), is among HARMONIC INC. |
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| November 2, 2022 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): October 28, 2022 HARMONIC INC. (Exact name of Registrant as specified in its charter) Delaware 000-25826 77-0201147 (State or other jurisdiction of incorporation) Commission File Numb |
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| October 31, 2022 |
Financial Statements and Exhibits, Results of Operations and Financial Condition UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): October 31, 2022 HARMONIC INC. (Exact name of Registrant as specified in its charter) Delaware 000-25826 77-0201147 (State or other jurisdiction of incorporation) Commission File Numb |
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| October 31, 2022 |
Exhibit 99.1 FOR IMMEDIATE RELEASE Harmonic Announces Third Quarter 2022 Results Total revenue up 23% year over year to new September quarter record Broadband (1) revenue up 60% and Video SaaS revenue up 64% year over year SAN JOSE, California, October 31, 2022 - Harmonic Inc. (NASDAQ: HLIT) today announced its unaudited results for the third quarter of 2022. ?The third quarter marks another perio |
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| October 19, 2022 |
SC 13D/A 1 sc13da60677702310192022.htm AMENDMENT NO. 6 TO THE SCHEDULE 13D UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D (Rule 13d-101) INFORMATION TO BE INCLUDED IN STATEMENTS FILED PURSUANT TO § 240.13d-1(a) AND AMENDMENTS THERETO FILED PURSUANT TO § 240.13d-2(a) (Amendment No. 6)1 Harmonic Inc. (Name of Issuer) Common Stock, $0.001 par value per share (Tit |
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| September 2, 2022 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D (Rule 13d-101) INFORMATION TO BE INCLUDED IN STATEMENTS FILED PURSUANT TO ? 240.13d-1(a) AND AMENDMENTS THERETO FILED PURSUANT TO ? 240.13d-2(a) (Amendment No. 5)1 Harmonic Inc. (Name of Issuer) Common Stock, $0.001 par value per share (Title of Class of Securities) 413160102 (CUSIP Number) SAMANTHA NASELLO SCOPIA |
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| August 22, 2022 |
As filed with the Securities and Exchange Commission on August 19, 2022 Registration No. |
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| August 22, 2022 |
Exhibit 107.1 Calculation of Filing Fee Tables Form S-8 (Form Type) Harmonic Inc. (Exact name of registrant as specified in its charter) Table 1 – Newly Registered Securities Security Type Security Class Title Fee Calculation Rule Amount Registered(1) Proposed Maximum Offering Price Per Unit Maximum Aggregate Offering Price Fee Rate Amount of Registration Fee Equity Common Stock, $0.001 par value |
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| August 22, 2022 |
1995 Stock Plan, as amended and restated on June 9, 2022 Exhibit 10.2 HARMONIC INC. 1995 STOCK PLAN (Amended and Restated, June 9, 2022) 1)Purposes of the Plan. The purposes of this Stock Plan are: (a)to attract and retain the best available personnel for positions of substantial responsibility, (b)to provide additional incentive to Employees and Consultants, and (c)to promote the success of the Company?s business. Awards granted under the Plan may be I |
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| August 22, 2022 |
2002 Employee Stock Purchase Plan, as amended and restated on June 9, 2022 Exhibit 10.1 HARMONIC INC. 2002 EMPLOYEE STOCK PURCHASE PLAN (Amended and Restated, June 9, 2022) The following constitute the provisions of the 2002 Employee Stock Purchase Plan (the ?Plan?) of Harmonic Inc. 1) Purpose. The purpose of the Plan is to provide employees of the Company and its Designated Companies with an opportunity to purchase Common Stock of the Company through accumulated payroll |
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| August 12, 2022 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): August 12, 2022 HARMONIC INC. (Exact name of Registrant as specified in its charter) Delaware 000-25826 77-0201147 (State or other jurisdiction of incorporation) Commission File Numbe |
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| August 5, 2022 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Form 10-Q Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Form 10-Q (Mark One) ? Quarterly report pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 For the Quarterly Period Ended July 1, 2022 ? Transition report pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Commission File No. 000-25826 HARMONIC INC. (Exact name of regis |
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| August 2, 2022 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D (Rule 13d-101) INFORMATION TO BE INCLUDED IN STATEMENTS FILED PURSUANT TO ? 240.13d-1(a) AND AMENDMENTS THERETO FILED PURSUANT TO ? 240.13d-2(a) (Amendment No. 4)1 Harmonic Inc. (Name of Issuer) Common Stock, $0.001 par value per share (Title of Class of Securities) 413160102 (CUSIP Number) SAMANTHA NASELLO SCOPIA |
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| August 1, 2022 |
Exhibit 99.1 FOR IMMEDIATE RELEASE Harmonic Announces Second Quarter 2022 Results Record total revenue up 39% year over year Cable Access revenue up 62% and Video SaaS revenue up 69% year over year SAN JOSE, California, August 01, 2022 - Harmonic Inc. (NASDAQ: HLIT) today announced its unaudited results for the second quarter of 2022. ?Harmonic delivered another record quarter, with 39% year over |
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| August 1, 2022 |
Financial Statements and Exhibits, Results of Operations and Financial Condition UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): August 1, 2022 HARMONIC INC. (Exact name of Registrant as specified in its charter) Delaware 000-25826 77-0201147 (State or other jurisdiction of incorporation) Commission File Number |
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| June 13, 2022 |
Submission of Matters to a Vote of Security Holders UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): June 9, 2022 HARMONIC INC. (Exact name of Registrant as specified in its charter) Delaware 000-25826 77-0201147 (State or other jurisdiction of incorporation) Commission File Number ( |
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| May 26, 2022 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM SD Specialized Disclosure Report HARMONIC INC. (Exact name of Registrant as specified in its charter) Delaware 000-25826 77-0201147 (State or other jurisdiction of incorporation or organization) Commission File Number (I.R.S. Employer Identification Number) 2590 Orchard Parkway, San Jose, CA 95131 (Address of principal of |
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| May 26, 2022 |
Conflict Minerals Report as required by Items 1.01 and 1.02 of this Form SD Exhibit 1.01 Harmonic Inc. Conflict Minerals Report For the Year Ended December 31, 2021 This Conflict Minerals Report (?CMR?) of Harmonic Inc. (?Harmonic?) for the calendar year ended December 31, 2021 is presented to comply with Rule 13p-1 under the Securities Exchange Act of 1934 (the ?Rule?). Unless otherwise defined herein, please refer to the Rule, our Specialized Disclosure Report on Form S |
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| May 5, 2022 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Form 10-Q Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Form 10-Q (Mark One) ☒ Quarterly report pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 For the Quarterly Period Ended April 1, 2022 ☐ Transition report pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Commission File No. 000-25826 HARMONIC INC. (Exact name of regi |
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| May 2, 2022 |
Exhibit 99.1 FOR IMMEDIATE RELEASE Harmonic Announces First Quarter 2022 Results Revenue up 32% year over year Cable Access revenue up 98% year over year Record backlog and deferred revenue, up 81% year over year SAN JOSE, California, May 2, 2022 - Harmonic Inc. (NASDAQ: HLIT) today announced its unaudited results for the first quarter of 2022. ?Harmonic delivered another strong quarter, with reve |
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| May 2, 2022 |
Financial Statements and Exhibits, Results of Operations and Financial Condition UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): May 2, 2022 HARMONIC INC. (Exact name of Registrant as specified in its charter) Delaware 000-25826 77-0201147 (State or other jurisdiction of incorporation) Commission File Number (I |
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| April 29, 2022 |
DEF 14A 1 ny20002960x1def14a.htm DEF 14A TABLE OF CONTENTS UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 Filed by the Registrant ☒ Filed by a Party other than the Registrant ☐ Check the appropriate box: ☐ Preliminary Proxy Statement ☐ Confidential, for Use of the Commission Only |
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| April 29, 2022 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 Filed by the Registrant ? ? ? Filed by a Party other than the Registrant ? Check the appropriate box: ? Preliminary Proxy Statement ? Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e)(2)) ? Definitive Proxy S |
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| April 21, 2022 |
April 21, 2022 VIA EDGAR SUBMISSION Securities and Exchange Commission Division of Corporation Finance Office of Manufacturing 100 F Street, N. |
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| March 29, 2022 |
Amendment No. 3 to Schedule 13D UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 SCHEDULE 13D UNDER THE SECURITIES EXCHANGE ACT OF 1934 (Amendment No. 3)* Harmonic Inc. (Name of Issuer) Common Stock, $0.001 par value per share (Title and Class of Securities) 413160102 (CUSIP Number) Samantha Nasello Scopia Capital Management LP 152 West 57th St., 33rd Floor New York, NY 1001 |
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| March 29, 2022 |
Entry into a Material Definitive Agreement, Financial Statements and Exhibits UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): March 24, 2022 HARMONIC INC. (Exact name of Registrant as specified in its charter) Delaware 000-25826 77-0201147 (State or other jurisdiction of incorporation) Commission File Number |
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| March 29, 2022 |
Exhibit 10.1 Harmonic Inc. 2590 Orchard Parkway San Jose, CA 95131 March 24, 2022 Scopia Capital Management LP 152 West 57th St., 33rd Floor New York, NY 10019 Attention: Jerome Lande Re: Cooperation Agreement Ladies and Gentlemen: This letter confirms our agreement to amend certain rights and obligations of Harmonic Inc. (the ?Company?) and Scopia Capital Management LP (?Scopia?) pursuant to the |
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| February 28, 2022 |
Exhibit 4.8 HARMONIC INC. AND U.S. BANK NATIONAL ASSOCIATION as Trustee FIRST SUPPLEMENTAL INDENTURE Supplemental Indenture (this ?Supplemental Indenture?), dated as of November 15, 2021, among Harmonic Inc., a Delaware corporation (the ?Issuer?), and U.S. Bank National Association, a national banking association, as trustee under the Indenture referred to below (the ?Trustee?). W I T N E S S E T |
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| February 28, 2022 |
HARMONIC INC. AND SUBSIDIARIES SUBSIDIARIES OF THE REGISTRANT The following table lists the direct and indirect subsidiaries of Harmonic Inc. as of December 31, 2021: Name State or Other Jurisdiction of Incorporation or Organization Harmonic Delaware, L.L.C. U.S.A. Harmonic Germany GmbH Germany Harmonic Japan GK Japan Harmonic India Private Limited India Harmonic International GmbH Switzerland Har |
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| February 28, 2022 |
Exhibit 4.4 HARMONIC INC. AND U.S. BANK NATIONAL ASSOCIATION as Trustee FIRST SUPPLEMENTAL INDENTURE Supplemental Indenture (this ?Supplemental Indenture?), dated as of November 15, 2021, among Harmonic Inc., a Delaware corporation (the ?Issuer?), and U.S. Bank National Association, a national banking association, as trustee under the Indenture referred to below (the ?Trustee?). W I T N E S S E T |
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| February 28, 2022 |
Amended and Restated Bylaws of Harmonic Inc. Exhibit 3.2 AMENDED AND RESTATED BYLAWS OF HARMONIC INC. (a Delaware corporation) TABLE OF CONTENTS Page ARTICLE I CORPORATE OFFICES 1 1.1 REGISTERED OFFICE 1 1.2 OTHER OFFICES 1 ARTICLE II MEETINGS OF STOCKHOLDERS 1 2.1 PLACE OF MEETINGS 1 2.2 ANNUAL MEETING 1 2.3 SPECIAL MEETING 2 2.4 NOTICE OF STOCKHOLDERS? MEETINGS 2 2.5 ADVANCE NOTICE OF STOCKHOLDER NOMINEES AND STOCKHOLDER BUSINESS 2 2.6 MAN |
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| February 28, 2022 |
Table of Contents 2021 Annual Report Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D. |
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| February 10, 2022 |
HLIT / Harmonic Inc / VANGUARD GROUP INC - SCHEDULE 13G/A Passive Investment SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Schedule 13G Under the Securities Exchange Act of 1934 (Amendment No.: 10)* Name of issuer: Harmonic Inc. Title of Class of Securities: Common Stock CUSIP Number: 413160102 Date of Event Which Requires Filing of this Statement: December 31, 2021 Check the appropriate box to designate the rule pursuant to which this Schedule is filed: ??Rule |
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| February 8, 2022 |
HLIT / Harmonic Inc / DIMENSIONAL FUND ADVISORS LP - SEC SCHEDULE 13G Passive Investment UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. 8 )* Harmonic Inc (Name of Issuer) Common Stock (Title of Class of Securities) 413160102 (CUSIP Number) December 31, 2021 (Date of Event Which Requires Filing of this Statement) Check the appropriate box to designate the rule pursuant to which this Schedule |
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| February 4, 2022 |
Harmonic Announces $100 Million Stock Repurchase Program Exhibit 99.1 Harmonic Announces $100 Million Stock Repurchase Program SAN JOSE, Calif., February 3, 2022 ? Harmonic Inc. (NASDAQ: HLIT) today announced that its board of directors has authorized a stock repurchase program under which the company may repurchase up to $100 million of its outstanding shares of common stock through February 2025. The company intends to fund the share repurchases from |
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| February 4, 2022 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): February 1, 2022 HARMONIC INC. (Exact name of Registrant as specified in its charter) Delaware 000-25826 77-0201147 (State or other jurisdiction of incorporation) Commission File Numb |
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| January 31, 2022 |
Financial Statements and Exhibits, Results of Operations and Financial Condition UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): January 31, 2022 HARMONIC INC. (Exact name of Registrant as specified in its charter) Delaware 000-25826 77-0201147 (State or other jurisdiction of incorporation) Commission File Numb |
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| January 31, 2022 |
Exhibit 99.1 FOR IMMEDIATE RELEASE Harmonic Announces Fourth Quarter and Fiscal 2021 Results Record quarterly revenue, up 18%, and backlog and deferred revenue, up 52%, year over year SAN JOSE, California, January 31, 2022 - Harmonic Inc. (NASDAQ: HLIT) today announced its unaudited results for the fourth quarter and fiscal year ended December 31, 2021. ?Harmonic ended 2021 with exceptional quarte |
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| November 5, 2021 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Form 10-Q Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Form 10-Q (Mark One) ? Quarterly report pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 For the Quarterly Period Ended October 1, 2021 ? Transition report pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Commission File No. 000-25826 HARMONIC INC. (Exact name of re |
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| November 1, 2021 |
Financial Statements and Exhibits, Results of Operations and Financial Condition UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): November 1, 2021 HARMONIC INC. (Exact name of Registrant as specified in its charter) Delaware 000-25826 77-0201147 (State or other jurisdiction of incorporation) Commission File Numb |
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| November 1, 2021 |
Exhibit 99.1 FOR IMMEDIATE RELEASE Harmonic Announces Third Quarter 2021 Results Total revenue up 33%, Cable Access revenue up 43%, Video revenue up 26% year over year SAN JOSE, California, November 1, 2021 - Harmonic Inc. (NASDAQ: HLIT) today announced its unaudited results for the third quarter of 2021. ?Harmonic delivered another strong quarter, with total revenue up 33% year over year and soli |
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| August 20, 2021 |
2002 Employee Stock Purchase Plan, as amended and restated on June 8, 2021 Exhibit 10.1 HARMONIC INC. 2002 EMPLOYEE STOCK PURCHASE PLAN (Amended and Restated, June 8, 2021) The following constitute the provisions of the 2002 Employee Stock Purchase Plan (the ?Plan?) of Harmonic Inc. 1) Purpose. The purpose of the Plan is to provide employees of the Company and its Designated Companies with an opportunity to purchase Common Stock of the Company through accumulated payroll |
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| August 20, 2021 |
As filed with the Securities and Exchange Commission on August 20, 2021 Registration No. |
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| August 20, 2021 |
2002 Director Stock Plan, as amended and restated on June 8, 2021 Exhibit 10.2 HARMONIC INC. 2002 DIRECTOR STOCK PLAN (Amended and Restated, June 8, 2021) 1)Purposes of the Plan. The purposes of this 2002 Director Stock Plan are to attract and retain the best available personnel for service as Outside Directors (as defined herein) of the Company, to provide additional incentive to the Outside Directors of the Company to serve as Directors, and to encourage their |
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| August 6, 2021 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Form 10-Q Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Form 10-Q (Mark One) ? Quarterly report pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 For the Quarterly Period Ended July 2, 2021 ? Transition report pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Commission File No. 000-25826 HARMONIC INC. (Exact name of regis |
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| August 5, 2021 |
HLIT / Harmonic Inc / SCOPIA CAPITAL MANAGEMENT LP Activist Investment UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 SCHEDULE 13D UNDER THE SECURITIES EXCHANGE ACT OF 1934 (Amendment No. 2)* Harmonic Inc. (Name of Issuer) Common Stock, $0.001 par value per share (Title and Class of Securities) 413160102 (CUSIP Number) Samantha Nasello Scopia Capital Management LP 152 West 57th St., 33rd Floor New York, NY 10019 (212) 370-0303 (Name, Address |
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| August 5, 2021 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): August 2, 2021 HARMONIC INC. (Exact name of Registrant as specified in its charter) Delaware 000-25826 77-0201147 (State or other jurisdiction of incorporation) Commission File Number |
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| August 5, 2021 |
Exhibit 99.1 For Immediate Release Harmonic Appoints Dan Whalen to its Board of Directors SAN JOSE, Calif. - August 5, 2021 - Harmonic (NASDAQ: HLIT) today announced it has expanded the company?s board of directors with the appointment of Dan Whalen. ?I?m pleased to welcome Dan to our board,? said Patrick Harshman, president and CEO of Harmonic. ?With his senior management experience and extensive |
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| August 2, 2021 |
Exhibit 99.1 FOR IMMEDIATE RELEASE Harmonic Announces Second Quarter 2021 Results Cable Access revenue up 89% year over year Video revenue up 34% year over year Record backlog and deferred revenue, up 65% year over year SAN JOSE, California, August 2, 2021 - Harmonic Inc. (NASDAQ: HLIT) today announced its unaudited results for the second quarter of 2021. ?Harmonic delivered another strong quarter |
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| August 2, 2021 |
Financial Statements and Exhibits, Results of Operations and Financial Condition UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): August 2, 2021 HARMONIC INC. (Exact name of Registrant as specified in its charter) Delaware 000-25826 77-0201147 (State or other jurisdiction of incorporation) Commission File Number |
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| June 10, 2021 |
Submission of Matters to a Vote of Security Holders UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): June 8, 2021 HARMONIC INC. (Exact name of Registrant as specified in its charter) Delaware 000-25826 77-0201147 (State or other jurisdiction of incorporation) Commission File Number ( |
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| May 28, 2021 |
Conflict Minerals Report as required by Items 1.01 and 1.02 of this Form SD EX-1.01 2 exhibit101toformsdfy2020.htm EX-1.01 Exhibit 1.01 Harmonic Inc. Conflict Minerals Report For the Year Ended December 31, 2020 This Conflict Minerals Report (“CMR”) of Harmonic Inc. (“Harmonic”) for the calendar year ended December 31, 2020 is presented to comply with Rule 13p-1 under the Securities Exchange Act of 1934 (the “Rule”). Unless otherwise defined herein, please refer to the Ru |
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| May 28, 2021 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM SD Specialized Disclosure Report HARMONIC INC. (Exact name of Registrant as specified in its charter) Delaware 000-25826 77-0201147 (State or other jurisdiction of incorporation or organization) Commission File Number (I.R.S. Employer Identification Number) 2590 Orchard Parkway, San Jose, CA 95131 (Address of principal of |
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| May 7, 2021 |
Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Form 10-Q (Mark One) ? Quarterly report pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 For the Quarterly Period Ended April 2, 2021 ? Transition report pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Commission File No. 000-25826 HARMONIC INC. (Exact name of regi |
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| May 3, 2021 |
Exhibit 99.1 FOR IMMEDIATE RELEASE Harmonic Announces First Quarter 2021 Results Cable Access revenue up 72% year over year Video revenue up 29% year over year SAN JOSE, California, May 3, 2021 - Harmonic Inc. (NASDAQ: HLIT) today announced its unaudited results for the first quarter of 2021. ?Harmonic delivered another quarter of solid results, including better than expected revenues and earnings |
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| May 3, 2021 |
Financial Statements and Exhibits, Results of Operations and Financial Condition UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): May 3, 2021 HARMONIC INC. (Exact name of Registrant as specified in its charter) Delaware 000-25826 77-0201147 (State or other jurisdiction of incorporation) Commission File Number (I |
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| April 28, 2021 |
DEF 14A 1 nc10021024x1def14a.htm DEF 14A TABLE OF CONTENTS UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 Filed by the Registrant ☒ Filed by a Party other than the Registrant ☐ Check the appropriate box: ☐ Preliminary Proxy Statement ☐ Confidential, for Use of the Commission Only |
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| April 28, 2021 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 Filed by the Registrant ? ? ? Filed by a Party other than the Registrant ? Check the appropriate box: ? ? ? Preliminary Proxy Statement ? ? ? Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e)(2)) ? ? ? Defini |
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| April 12, 2021 |
Entry into a Material Definitive Agreement, Financial Statements and Exhibits, Other Events UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): April 9, 2021 HARMONIC INC. (Exact name of Registrant as specified in its charter) Delaware 000-25826 77-0201147 (State or other jurisdiction of incorporation) Commission File Number |
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| April 12, 2021 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 SCHEDULE 13D UNDER THE SECURITIES EXCHANGE ACT OF 1934 (Amendment No. 1)* Harmonic Inc. (Name of Issuer) Common Stock, $0.001 par value per share (Title and Class of Securities) 413160102 (CUSIP Number) Samantha Nasello Scopia Capital Management LP 152 West 57th St., 33rd Floor New York, NY 10019 (212) 370-0303 (Name, Address |
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| April 12, 2021 |
EXECUTION VERSION Exhibit 10.1 COOPERATION AGREEMENT This Cooperation Agreement (this ?Agreement?) dated as of April 9, 2021 is by and between Scopia Capital Management LP (?Scopia?) and Harmonic Inc. (the ?Company?). The Company and Scopia are each referred to herein as a ?Party? and, collectively, as the ?Parties.? WHEREAS, the Company and Scopia have engaged in discussions concerning the Compan |
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| April 12, 2021 |
Harmonic Enters into Cooperation Agreement with Scopia Exhibit 99.1 Harmonic Enters into Cooperation Agreement with Scopia SAN JOSE, Calif., April 12, 2021 /PRNewswire/ - Harmonic (NASDAQ: HLIT) today announced that it has entered into a cooperation agreement with Scopia Capital Management LP (?Scopia?). ?We appreciate the constructive dialogue that we have had with Scopia, and we are pleased to have reached this agreement,? said Patrick Harshman, CEO |
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| March 8, 2021 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 SCHEDULE 13D UNDER THE SECURITIES EXCHANGE ACT OF 1934 (Amendment No. )* Harmonic Inc. (Name of Issuer) Common Stock, $0.001 par value per share (Title and Class of Securities) 413160102 (CUSIP Number) Samantha Nasello Scopia Capital Management LP 152 West 57th St., 33rd Floor New York, NY 10019 (212) 370-0303 (Name, Address a |
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| March 5, 2021 |
Exhibit 16.1 Armanino LLP 12657 Alcosta Boulevard Suite 500 San Ramon, CA 94583-4600 925 790 2600 main 925 790 2601 fax armaninoLLP.com March 5, 2021 Securities and Exchange Commission 100 F Street, N.E. Washington, DC 20549 Commissioners: We have read the statements made by Harmonic Inc. under Item 4.01 of its Form 8-K dated March 4, 2021. We agree with the statements concerning our Firm containe |
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| March 5, 2021 |
Financial Statements and Exhibits, Changes in Registrant's Certifying Accountant UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): March 4, 2021 HARMONIC INC. (Exact name of Registrant as specified in its charter) Delaware 000-25826 77-0201147 (State or other jurisdiction of incorporation) Commission File Number |
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| March 2, 2021 |
Table of Contents 2020 Annual Report Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D. |
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| March 2, 2021 |
HARMONIC INC. AND SUBSIDIARIES SUBSIDIARIES OF THE REGISTRANT The following table lists the direct and indirect subsidiaries of Harmonic Inc. as of December 31, 2020: Name State or Other Jurisdiction of Incorporation or Organization Harmonic Delaware, L.L.C. U.S.A. Harmonic Germany GmbH Germany Harmonic Japan GK Japan Harmonic India Private Limited India Harmonic International GmbH Switzerland Har |
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| February 16, 2021 |
Amendment No. 1 to Schedule 13G UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No.)* Harmonic Inc. (Name of Issuer) Common Stock, par value $0.001 per share (Title of Class of Securities) 413160102 (CUSIP Number) December 31, 2020 (Date of Event Which Requires Filing of this Statement) Check the appropriate bo |
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| February 16, 2021 |
Amendment No. 1 to Schedule 13G Exhibit 99.1 JOINT FILING AGREEMENT In accordance with Rule 13d-1(k)(1) under the Securities Exchange Act of 1934, as amended, the persons named below agree to the joint filing on behalf of each of them to Schedule 13G (including additional amendments thereto) with respect to the Common Stock, par value $0.001 per share, of Harmonic Inc. This Joint Filing Agreement |
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| February 12, 2021 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. 7 )* Harmonic Inc (Name of Issuer) Common Stock (Title of Class of Securities) 413160102 (CUSIP Number) December 31, 2020 (Date of Event Which Requires Filing of this Statement) Check the appropriate box to designate the rule pursuant to which this Schedule |
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| February 10, 2021 |
SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Schedule 13G Under the Securities Exchange Act of 1934 (Amendment No.: 9)* Name of issuer: Harmonic Inc. Title of Class of Securities: Common Stock CUSIP Number: 413160102 Date of Event Which Requires Filing of this Statement: December 31, 2020 Check the appropriate box to designate the rule pursuant to which this Schedule is filed: ☒ Rule |
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| February 1, 2021 |
Financial Statements and Exhibits, Results of Operations and Financial Condition UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): February 1, 2021 HARMONIC INC. (Exact name of Registrant as specified in its charter) Delaware 000-25826 77-0201147 (State or other jurisdiction of incorporation) Commission File Numb |
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| February 1, 2021 |
Exhibit 99.1 FOR IMMEDIATE RELEASE Harmonic Announces Fourth Quarter and Fiscal 2020 Results Revenue up 38.6% quarter over quarter Bookings up 105% quarter over quarter SAN JOSE, California, February 1, 2021 - Harmonic Inc. (NASDAQ: HLIT) today announced its unaudited results for the fourth quarter and fiscal year ended December 31, 2020. “Harmonic's fourth quarter results reflect the competitive |
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| November 16, 2020 |
EXECUTION VERSION THIRD AMENDMENT TO CREDIT AGREEMENT THIS THIRD AMENDMENT TO CREDIT AGREEMENT (the “Amendment”), dated as of November 10, 2020 (the “Third Amendment Effective Date”), is among HARMONIC INC. |
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| November 16, 2020 |
Entry into a Material Definitive Agreement, Financial Statements and Exhibits - 8-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): November 10, 2020 HARMONIC INC. (Exact name of Registrant as specified in its charter) Delaware 000-25826 77-0201147 (State or other jurisdiction of incorporation) Commission File Num |
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| November 16, 2020 |
DRAFT PURCHASE AGREEMENT This DRAFT PURCHASE AGREEMENT, dated as of November 10, 2020 (this “Agreement”), is by and between Harmonic Inc. |
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| November 2, 2020 |
Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Form 10-Q (Mark One) ☒ Quarterly report pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 For the Quarterly Period Ended September 25, 2020 ☐ Transition report pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Commission File No. 000-25826 HARMONIC INC. (Exact name of |
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| November 2, 2020 |
EX-10.1 2 secondamendmenttocredi.htm EXHIBIT 10.1 EXECUTION VERSION SECOND AMENDMENT TO CREDIT AGREEMENT THIS SECOND AMENDMENT TO CREDIT AGREEMENT (the “Amendment”), dated as of October 30, 2020 (the “Second Amendment Effective Date”), is among HARMONIC INC. and HARMONIC INTERNATIONAL GmbH, as Borrowers, the other Loan Parties party hereto, and JPMORGAN CHASE BANK, N.A., as Lender. RECITALS: Borro |
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| October 26, 2020 |
Financial Statements and Exhibits, Results of Operations and Financial Condition - 8-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): October 26, 2020 HARMONIC INC. (Exact name of Registrant as specified in its charter) Delaware 000-25826 77-0201147 (State or other jurisdiction of incorporation) Commission File Numb |
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| October 26, 2020 |
Exhibit 99.1 FOR IMMEDIATE RELEASE Harmonic Announces Third Quarter 2020 Results Cable Access Segment Earns 14.6% Operating Margin Video Segment Revenue up 15.1% quarter over quarter SAN JOSE, California, October 26, 2020 - Harmonic Inc. (NASDAQ: HLIT) today announced its unaudited results for the third quarter of 2020. “Harmonic’s third quarter results were driven by strong performance in both ou |
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| August 11, 2020 |
As filed with the Securities and Exchange Commission on August 11, 2020 Registration No. |
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| August 11, 2020 |
HARMONIC INC. 2002 EMPLOYEE STOCK PURCHASE PLAN (Amended and Restated, June 10, 2020) HARMONIC INC. 2002 EMPLOYEE STOCK PURCHASE PLAN (Amended and Restated, June 10, 2020) The following constitute the provisions of the 2002 Employee Stock Purchase Plan (the “Plan”) of Harmonic Inc. 1) Purpose. The purpose of the Plan is to provide employees of the Company and its Designated Subsidiaries with an opportunity to purchase Common Stock of the Company through accumulated payroll deductio |
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| August 11, 2020 |
HARMONIC INC. 1995 STOCK PLAN (Amended and Restated, June 10, 2020) HARMONIC INC. 1995 STOCK PLAN (Amended and Restated, June 10, 2020) 1)Purposes of the Plan. The purposes of this Stock Plan are: (a) to attract and retain the best available personnel for positions of substantial responsibility, (b) to provide additional incentive to Employees and Consultants, and (c) to promote the success of the Company’s business. Awards granted under the Plan may be Incentive |
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| August 4, 2020 |
Form of Separation Agreement and Release by and between Harmonic Inc. and Eric Louvet SEPARATION AGREEMENT AND RELEASE This Separation Agreement and Release (“Agreement”) is made by and between Eric Louvet (“Executive”) and Harmonic Inc. |
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| August 4, 2020 |
Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Form 10-Q (Mark One) ☒ Quarterly report pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 For the Quarterly Period Ended June 26, 2020 ☐ Transition report pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Commission File No. 000-25826 HARMONIC INC. (Exact name of regi |
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| August 3, 2020 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): July 31, 2020 HARMONIC INC. (Exact name of Registrant as specified in its charter) Delaware 000-25826 77-0201147 (State or other jurisdiction of incorporation) Commission File Number |
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| August 3, 2020 |
Exhibit 99.1 FOR IMMEDIATE RELEASE Harmonic Announces Second Quarter 2020 Results Cable Access Segment Revenue up over 100% Year Over Year SAN JOSE, California, August 3, 2020 - Harmonic Inc. (NASDAQ: HLIT) today announced its unaudited results for the second quarter of 2020. “Harmonic executed well, exceeding expectations despite challenging market conditions,” said Patrick Harshman, president an |
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| June 12, 2020 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): June 10, 2020 HARMONIC INC. (Exact name of Registrant as specified in its charter) Delaware 000-25826 77-0201147 (State or other jurisdiction of incorporation) Commission File Number |
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| June 2, 2020 |
Harmonic Inc. Announces Exchange of Convertible Notes EX-99.1 4 d830199dex991.htm EX-99.1 Exhibit 99.1 Harmonic Inc. Announces Exchange of Convertible Notes SAN JOSE, Calif. – May 29, 2020 – Harmonic Inc. (“Harmonic”) (NASDAQ:HLIT) today announced that it has entered into separate privately negotiated transactions to exchange approximately $36.8 million in aggregate principal amount of its 4.00% Convertible Senior Notes due 2020 (the “Existing Notes” |
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| June 2, 2020 |
Indenture, dated June 2, 2020, by and between the Company and U.S. Bank National Association EX-4.1 Exhibit 4.1 HARMONIC INC. AND U.S. BANK NATIONAL ASSOCIATION as Trustee INDENTURE Dated as of June 2, 2020 4.375% Convertible Senior Notes due 2022 TABLE OF CONTENTS PAGE ARTICLE 1 DEFINITIONS Section 1.01 . Definitions 1 Section 1.02 . References to Interest 12 ARTICLE 2 ISSUE, DESCRIPTION, EXECUTION, REGISTRATION AND EXCHANGE OF NOTES Section 2.01 . Designation and Amount 12 Section 2.02 |
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| June 2, 2020 |
EX-10.1 Exhibit 10.1 EXECUTION VERSION FIRST AMENDMENT TO CREDIT AGREEMENT THIS FIRST AMENDMENT TO CREDIT AGREEMENT (the “Amendment”), dated as of May 28, 2020 (the “First Amendment Effective Date”), is among HARMONIC INC. and HARMONIC INTERNATIONAL GmbH, as Borrowers, the other Loan Parties party hereto, and JPMORGAN CHASE BANK, N.A., as Lender. RECITALS: Borrowers and Lender have entered into th |
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| June 2, 2020 |
8-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): May 28, 2020 HARMONIC INC. (Exact name of registrant as specified in its charter) Delaware 000-25826 77-0201147 (State or other jurisdiction of incorporation) Commission File Numb |
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| May 29, 2020 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM SD Specialized Disclosure Report HARMONIC INC. (Exact name of Registrant as specified in its charter) Delaware 000-25826 77-0201147 (State or other jurisdiction of incorporation or organization) Commission File Number (I.R.S. Employer Identification Number) 4300 North First Street, San Jose, CA 95134 (Address of principal |
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| May 29, 2020 |
Harmonic Inc. Conflict Minerals Report For the Year Ended December 31, 2019 EX-1.01 2 exhibit101toformsdfy2019.htm EXHIBIT 1.01 Exhibit 1.01 Harmonic Inc. Conflict Minerals Report For the Year Ended December 31, 2019 This Conflict Minerals Report (“CMR”) of Harmonic Inc. (“Harmonic”) for the calendar year ended December 31, 2019 is presented to comply with Rule 13p-1 under the Securities Exchange Act of 1934 (the “Rule”). Unless otherwise defined herein, please refer to t |
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| May 5, 2020 |
Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Form 10-Q (Mark One) ý Quarterly report pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 For the Quarterly Period Ended March 27, 2020 ¨ Transition report pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Commission File No. 000-25826 HARMONIC INC. (Exact name of reg |
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| April 30, 2020 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 Filed by the Registrant ☒ Filed by a Party other than the Registrant ☐ Check the appropriate box: ☐ Preliminary Proxy Statement ☐ Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e)(2)) ☐ Definitive Proxy State |
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| April 30, 2020 |
TABLE OF CONTENTS UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 Filed by the Registrant ☒ Filed by a Party other than the Registrant ☐ Check the appropriate box: ☐ Preliminary Proxy Statement ☐ Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e)(2)) ☒ Defi |
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| April 27, 2020 |
Financial Statements and Exhibits, Results of Operations and Financial Condition UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): April 27, 2020 HARMONIC INC. (Exact name of Registrant as specified in its charter) Delaware 000-25826 77-0201147 (State or other jurisdiction of incorporation) Commission File Number |
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| April 27, 2020 |
Exhibit 99.1 FOR IMMEDIATE RELEASE Harmonic Announces First Quarter 2020 Results Cable Access Segment Revenue up 85.6% year over year SaaS and Service Revenue up 10.5% year over year SAN JOSE, California, April 27, 2020 - Harmonic Inc. (NASDAQ: HLIT) today announced its unaudited results for the first quarter of 2020. “While Harmonic’s financial results were impacted by Covid-19, we delivered on s |
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| March 2, 2020 |
Description of Capital Stock The authorized capital stock of Harmonic Inc. (“we”, “us”, “our” or “Harmonic”) consists of 150,000,000 shares of common stock, $0.001 par value, and 5,000,000 shares of preferred stock, $0.001 par value, 100,000 of which have been designated as Series A Participating Preferred Stock. The following description of our capital stock does not purport to be complete and is |
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| March 2, 2020 |
HARMONIC INC. AND SUBSIDIARIES SUBSIDIARIES OF THE REGISTRANT The following table lists the direct and indirect subsidiaries of Harmonic Inc. as of December 31, 2019: Name State or Other Jurisdiction of Incorporation or Organization Harmonic Delaware, L.L.C. U.S.A. Harmonic Germany GmbH Germany Harmonic Global Limited Cayman Islands Harmonic Japan GK Japan Harmonic India Private Limited India Harm |
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| March 2, 2020 |
HLIT / Harmonic, Inc. 10-K - Annual Report - 10-K Table of Content 2019 Annual Report Table of Content UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D. |
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| February 14, 2020 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G (Rule 13d-102) INFORMATION TO BE INCLUDED IN STATEMENTS FILED PURSUANT TO RULES 13d-1(b), (c), AND (d) AND AMENDMENTS THERETO FILED PURSUANT TO RULE 13d-2(b) (Amendment No. 2)1 Harmonic Inc. (Name of Issuer) Common Stock, $0.001 par value (Title of Class of Securities) 413160 10 2 (CUSIP Number) December 31, 2019 |
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| February 13, 2020 |
HLIT / Harmonic, Inc. / COMCAST CORP - SC 13G/A Passive Investment SC 13G/A UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G/A Under the Securities Exchange Act of 1934 (Amendment No. 2)* HARMONIC INC. (Name of Issuer) Common Stock, par value $0.001 (Title of Class of Securities) 413160102 (CUSIP Number) December 31, 2019 (Date of Event which Requires Filing of this Statement) Check the appropriate box to designate the rule pur |
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| February 12, 2020 |
HLIT / Harmonic, Inc. / VANGUARD GROUP INC - SCHEDULE 13G/A Passive Investment SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Schedule 13G Under the Securities Exchange Act of 1934 (Amendment No.: 8)* Name of issuer: Harmonic Inc Title of Class of Securities: Common Stock CUSIP Number: 413160102 Date of Event Which Requires Filing of this Statement: December 31, 2019 Check the appropriate box to designate the rule pursuant to which this Schedule is filed: ☒ Rule 1 |
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| February 12, 2020 |
HLIT / Harmonic, Inc. / DIMENSIONAL FUND ADVISORS LP - SCHEDULE 13G/A Passive Investment UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. 6)* HARMONIC INC (Name of Issuer) Common Stock (Title of Class of Securities) 413160102 (CUSIP Number) December 31, 2019 (Date of Event Which Requires Filing of this Statement) Check the appropriate box to designate the rule pursuant to which this Schedule i |
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| February 3, 2020 |
Exhibit 99.1 FOR IMMEDIATE RELEASE Harmonic Announces Fourth Quarter and Fiscal 2019 Results Strong Cable Access Revenue Growth Record Video Gross Margins SAN JOSE, California, February 3, 2020 - Harmonic Inc. (NASDAQ: HLIT) today announced its unaudited results for the fourth quarter and fiscal year ended December 31, 2019. “Harmonic delivered another quarter of strong financial and strategic res |
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| February 3, 2020 |
Financial Statements and Exhibits, Results of Operations and Financial Condition UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): February 3, 2020 HARMONIC INC. (Exact name of Registrant as specified in its charter) Delaware 000-25826 77-0201147 (State or other jurisdiction of incorporation) Commission File Numb |
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| December 26, 2019 |
EX-10.1 2 jpmcreditagreementfinal1.htm EXHIBIT 10.1 CREDIT AGREEMENT dated as of December 19, 2019 among HARMONIC INC. and HARMONIC INTERNATIONAL GmbH and JPMORGAN CHASE BANK, N.A. TABLE OF CONTENTS Page ARTICLE I DEFINITIONS ......................................................................................................................... 1 SECTION 1.01 Defined Terms ....................... |
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| December 26, 2019 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8‑K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): December 19, 2019 Harmonic Inc. (Exact name of registrant as specified in its charter) Delaware 000-25826 77-0201147 (State or other jurisdiction of incorporation) (Commission File Nu |
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| November 4, 2019 |
ASUV / Harmonic Energy, Inc. 10-Q - Quarterly Report - 10-Q Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Form 10-Q (Mark One) ý Quarterly report pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 For the Quarterly Period Ended September 27, 2019 ¨ Transition report pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Commission File No. 000-25826 HARMONIC INC. (Exact name of |
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| October 28, 2019 |
Harmonic Announces Third Quarter 2019 Results CableOS Success Drives Record Earnings EX-99.1 2 hlit-20190927q3x19pressrel.htm EXHIBIT 99.1 Exhibit 99.1 FOR IMMEDIATE RELEASE Harmonic Announces Third Quarter 2019 Results CableOS Success Drives Record Earnings SAN JOSE, California, October 28, 2019 - Harmonic Inc. (NASDAQ: HLIT) today announced its unaudited results for the third quarter of 2019. “We delivered strong revenue growth and record earnings, powered by the growing success |
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| October 28, 2019 |
Financial Statements and Exhibits, Results of Operations and Financial Condition UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): October 28, 2019 HARMONIC INC. (Exact name of registrant as specified in its charter) Delaware 000-25826 77-0201147 (State or other jurisdiction of incorporation) Commission File Numb |
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| September 16, 2019 |
EX-99.2 Exhibit 99.2 Harmonic Inc. Announces Pricing of Offering of $105 Million of Convertible Senior Notes SAN JOSE, Calif. – September 11, 2019 – Harmonic Inc. (NASDAQ: HLIT), the worldwide leader in video delivery infrastructure, today announced the pricing of $105.0 million aggregate principal amount of 2.00% convertible senior notes due 2024 (the “notes”) in a private placement to persons re |
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| September 16, 2019 |
EX-10.1 Exhibit 10.1 EXECUTION VERSION HARMONIC INC. (a Delaware corporation) $105,000,000 2.00% Convertible Senior Notes due 2024 PURCHASE AGREEMENT Dated: September 10, 2019 HARMONIC INC. (a Delaware corporation) $105,000,000 2.00% Convertible Senior Notes due 2024 PURCHASE AGREEMENT September 10, 2019 BARCLAYS CAPITAL INC. As Representative of the several Initial Purchasers named in Schedule A |
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| September 16, 2019 |
Indenture, dated September 13, 2019, between the Company and U.S. Bank National Association EX-4.1 Exhibit 4.1 HARMONIC INC. AND U.S. BANK NATIONAL ASSOCIATION as Trustee INDENTURE Dated as of September 13, 2019 2.00% Convertible Senior Notes due 2024 TABLE OF CONTENTS PAGE ARTICLE 1 DEFINITIONS Section 1.01. Definitions 1 Section 1.02. References to Interest 13 ARTICLE 2 ISSUE, DESCRIPTION, EXECUTION, REGISTRATION AND EXCHANGE OF NOTES Section 2.01. Designation and Amount 14 Section 2.0 |
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| September 16, 2019 |
EX-99.1 Exhibit 99.1 Harmonic Inc. Announces Proposed Private Offering of $105 Million Convertible Senior Notes SAN JOSE, Calif. — September 10, 2019 — Harmonic Inc. (NASDAQ: HLIT), the worldwide leader in video delivery infrastructure, today announced that it intends to offer, subject to market conditions and other factors, $105.0 million aggregate principal amount of convertible senior notes due |
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| September 16, 2019 |
8-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): September 10, 2019 HARMONIC INC. (Exact name of registrant as specified in its charter) Delaware 000-25826 77-0201147 (State or other jurisdiction of incorporation) Commission Fil |
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| August 5, 2019 |
Lease Termination Agreement dated as of May 15, 2019 by and between Harmonic Inc. and Google LLC. EX-10.1 3 hlit-20190628xex101.htm EXHIBIT 10.1 LEASE TERMINATION AGREEMENT THIS LEASE TERMINATION AGREEMENT (this "Agreement") is made and entered into effective as of May 15, 2019 (the "Effective Date"), by and between GOOGLE LLC, a Delaware limited liability company ("Landlord"), and HARMONIC INC., a Delaware corporation ("Tenant"). R E C I T A L S : A. Landlord and Tenant are parties to that ce |
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| August 5, 2019 |
Amended and Restated Bylaws of Harmonic Inc. AMENDED AND RESTATED BYLAWS OF HARMONIC INC. (a Delaware corporation) TABLE OF CONTENTS Page ARTICLE I CORPORATE OFFICES 1 1.1 REGISTERED OFFICE 1 1.2 OTHER OFFICES 1 ARTICLE II MEETINGS OF STOCKHOLDERS 1 2.1 PLACE OF MEETINGS 1 2.2 ANNUAL MEETING 1 2.3 SPECIAL MEETING 1 2.4 NOTICE OF STOCKHOLDERS’ MEETINGS 2 2.5 ADVANCE NOTICE OF STOCKHOLDER NOMINEES AND STOCKHOLDER BUSINESS 2 2.6 MANNER OF GIVIN |
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| August 5, 2019 |
ASUV / Harmonic Energy, Inc. 10-Q - Quarterly Report - 10-Q Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Form 10-Q (Mark One) ý Quarterly report pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 For the Quarterly Period Ended June 28, 2019 ¨ Transition report pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Commission File No. 000-25826 HARMONIC INC. (Exact name of regi |
