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
(IRS Employer
Identification No.)
4300 North First Street
San Jose, CA 95134
(Address of principal executive offices, including zip code)

(408) 542-2500
(Registrant’s telephone number, including area code)

Not Applicable
(Former name or former address, if changed since last report)

Check the appropriate box below if the Form 8-K filing is intended to simultaneously satisfy the filing obligation of the registrant under any of the following provisions:
¨

Written communications pursuant to Rule 425 under the Securities Act (17 CFR 230.425)
¨

Soliciting material pursuant to Rule 14a-12 under the Exchange Act (17 CFR 240.14a-12)
¨

Pre-commencement communications pursuant to Rule 14d-2(b) under the Exchange Act (17 CFR 240.14d-2(b))
¨

Pre-commencement communications pursuant to Rule 13e-4(c) under the Exchange Act (17 CFR 240.13e-4(c))
Securities registered pursuant to Section 12(b) of the Act:



Title of each class
Trading Symbol(s)
Name of each exchange on which registered
Common Stock, par value $0.001 per share
HLIT
The NASDAQ Stock Market LLC
Indicate by check mark whether the registrant is an emerging growth company as defined in Rule 405 of the Securities Act of 1933 (17 CFR §230.405) or Rule 12b-2 of the Securities Exchange Act of 1934 (17 CFR §240.12b-2). Emerging growth company ☐
If an emerging growth company, indicate by check mark if the registrant has elected not to use the extended transition period for complying with any new or revised financial accounting standards provided pursuant to Section 13(a) of the Exchange Act.  ☐



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ITEM 5.07 Submission of Matters to a Vote of Security Holders.

The Company held its 2020 Annual Meeting of Stockholders (the “2020 Annual Meeting”) at 10:00 a.m. Pacific Time on Wednesday, June 10, 2020. The Annual Meeting was a virtual meeting held over the Internet at www.virtualshareholdermeeting.com/HLIT2020. As of April 15, 2020, the record date for the 2020 Annual Meeting, there were 96,578,662 shares of common stock issued and outstanding. A quorum of 89,959,082 shares of common stock was present or represented at the 2020 Annual Meeting. All matters submitted to a vote of the Company’s stockholders at the 2020 Annual Meeting were approved. Those matters were as follows:
 
 
1.
Stockholders elected seven (7) directors to serve until the earlier of the 2021 Annual Meeting of Stockholders or until their successors are elected and duly qualified.
 
 
 
 
 
 
 
 
 
 
 
 
 
NAME
 
FOR
 
 
WITHHELD
 
 
BROKER NON-VOTE
Patrick Gallagher
 
75,341,255
 
 
447,658
 
 
14,170,169
Patrick Harshman
 
73,368,084
 
 
2,420,829
 
 
14,170,169
Deborah L. Clifford
 
75,341,543
 
 
447,370
 
 
14,170,169
David Krall
 
73,279,513
 
 
2,509,400
 
 
14,170,169
Mitzi Reaugh
 
74,939,349
 
 
849,564
 
 
14,170,169
Susan G. Swenson
 
74,146,229
 
 
1,642,684
 
 
14,170,169
Nikos Theodosopoulos
 
75,370,217
 
 
418,696
 
 
14,170,169

 
2.
Stockholders approved, on an advisory basis, the compensation of the named executive officers.
 
 
 
 
 
 
 
 
FOR
 
AGAINST
 
ABSTAIN
 
BROKER NON-VOTE
74,813,367
 
868,987
 
106,559
 
14,170,169

 
3.
Stockholders approved an amendment to the Company’s 2002 Employee Stock Purchase Plan to increase the number of shares of common stock reserved for issuance thereunder by 1,000,000 shares.
 
 
 
 
 
 
 
 
FOR
 
AGAINST
 
ABSTAIN
 
BROKER NON-VOTE
75,342,479
 
352,877
 
93,557
 
14,170,169

 
4.
Stockholders approved an amendment to the Company’s 1995 Stock Plan to increase the number of shares of common stock reserved for issuance thereunder by 4,000,000 shares.
 
 
 
 
 
 
 
 
FOR
 
AGAINST
 
ABSTAIN
 
BROKER NON-VOTE
63,307,725
 
12,011,754
 
469,434
 
14,170,169

 
5.
Stockholders ratified the appointment of Armanino LLP as the independent registered public accounting firm of the Company for the fiscal year ending December 31, 2020.
 
 
 
 
 
 
FOR
 
AGAINST
 
ABSTAIN
89,346,568
 
247,389
 
365,125

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SIGNATURES
Pursuant to the requirements of the Securities Exchange Act of 1934, the registrant has duly caused this report to be signed on its behalf by the undersigned hereunto duly authorized.
HARMONIC INC.
 
 
 
 
Date:
 
June 12, 2020
 
 
By:
 
/s/ Timothy C. Chu
 
 
Timothy C. Chu
 
 
General Counsel, SVP HR and Corporate Secretary
 


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