HARMONIC INC HLIT
COM · Common Stock · CUSIP 413160102 · ISIN US4131601027
- SectorTechnology
- IndustryRadio & Tv Broadcasting & Communications Equipment
- HeadquartersSan Jose, CA
- Founded1988
- Websiteharmonicinc.com
- FilingsSEC EDGAR
* Summed across managers. Shares that two managers' reports both contain – a subsidiary's holdings that its parent's report includes too, or a sub-adviser's in its client's – are counted once ($639.8k this quarter). Holder counts are more reliable. Shares outstanding: 112.2m as of 2023-10-30, from the company's own SEC filing; the percentage can still exceed 100%: lent-out shares are counted by the lender and the buyer, and some reports overlap without saying so. Implied quarter-end price ≈ $9.63. Options: 9 managers hold calls ($11.5m notional), 5 hold puts ($1.6m).
Trends to Q3 2023
Institutional holders
Managers reporting a position, each quarter
Numbers
| Quarter | Holders |
|---|---|
| Q3 2022 | 209 |
| Q4 2022 | 219 |
| Q1 2023 | 203 |
| Q2 2023 | 225 |
| Q3 2023 | 213 |
Buyers vs sellers
Managers adding to or starting a position, vs cutting or selling out
Numbers
| Quarter | Bought or added | Cut or sold out |
|---|---|---|
| Q4 2022 | 114 | 94 |
| Q1 2023 | 115 | 94 |
| Q2 2023 | 119 | 107 |
| Q3 2023 | 115 | 121 |
Calls vs puts
Options held, notional value, last 4 quarters. P/C = puts ÷ calls
Numbers
| Quarter | Calls | Puts | P/C |
|---|---|---|---|
| Q4 2022 | $1.6m | $52.0k | 0.03 |
| Q1 2023 | $8.0m | $249.3k | 0.03 |
| Q2 2023 | $10.9m | $720.9k | 0.07 |
| Q3 2023 | $11.5m | $1.6m | 0.14 |
Biggest buyers
| Trigran Investments, Inc. | Added | +2.7m |
| SCOPIA CAPITAL MANAGEMENT LP | Added | +2.5m |
| Toronado Partners, LLC | Added | +1.2m |
| KENNEDY CAPITAL MANAGEMENT LLC | Added | +907.1k |
| VANGUARD GROUP INC | Added | +847.8k |
| Leeward Investments, LLC - MA | Added | +748.5k |
| Polar Asset Management Partners Inc. | Added | +687.9k |
| BOOTHBAY FUND MANAGEMENT, LLC | Added | +621.3k |
| CenterBook Partners LP | Added | +618.3k |
| PRELUDE CAPITAL MANAGEMENT, LLC | Added | +608.3k |
Biggest sellers
| Hood River Capital Management LLC | Reduced | -2.4m |
| FMR LLC | Reduced | -1.6m |
| Schonfeld Strategic Advisors LLC | Sold out | -1.6m |
| Assenagon Asset Management S.A. | Reduced | -937.7k |
| Allspring Global Investments Holdings, LLC | Reduced | -828.9k |
| Invesco Ltd. | Reduced | -716.9k |
| ROYCE & ASSOCIATES LP | Reduced | -706.8k |
| Driehaus Capital Management LLC | Sold out | -664.8k |
| Lisanti Capital Growth, LLC | Sold out | -520.4k |
| ARDSLEY ADVISORY PARTNERS LP | Reduced | -385.0k |
Biggest calls
| Caption Management, LLC | Added | $4.5m470.0k shares |
| PICTON MAHONEY ASSET MANAGEMENT | New | $3.9m400.0k shares |
| CITADEL ADVISORS LLC | Added | $2.4m252.6k shares |
| PEAK6 Investments LLC | New | $252.3k26.2k shares |
| SUSQUEHANNA INTERNATIONAL GROUP, LLP | Added | $170.5k17.7k shares |
| JANE STREET GROUP, LLC | New | $136.7k14.2k shares |
| GROUP ONE TRADING LLC | Reduced | $98.2k10.2k shares |
| SIMPLEX TRADING, LLC | Added | $78.0k8.2k shares |
| CONCOURSE FINANCIAL GROUP SECURITIES, INC. | Unchanged | $00 shares |
Biggest puts
| CITADEL ADVISORS LLC | Added | $1.3m131.3k shares |
| SUSQUEHANNA INTERNATIONAL GROUP, LLP | New | $173.3k18.0k shares |
| PEAK6 Investments LLC | Added | $112.7k11.7k shares |
| SIMPLEX TRADING, LLC | Added | $22.0k2.3k shares |
| CONCOURSE FINANCIAL GROUP SECURITIES, INC. | Unchanged | $00 shares |
Options at notional value: the value of the shares the contracts control, as filers report them, not what the options cost. Not included in the holders, shares or buying above.
Major shareholders (over 5%)
Anyone who owns more than 5% of a class of the company's shares has to say so: on Schedule 13D if they may try to influence or control the company, on 13G if they're a passive investor, and update it as the stake changes. Each holder's latest filing, from 19 Dec 2024 on; percentages are of the share class, as the holder worked them out.
| Holder | Stake |
|---|---|
| VANGUARD PORTFOLIO MANAGEMENT LLC 13G · institution new · filed 2026-04-29 | 5.6% |
| VANGUARD CAPITAL MANAGEMENT LLC 13G · institution new · filed 2026-04-30 | 5.0% |
Fell to 5% or below in the last year: VANGUARD GROUP INC (0.0%, 2026-03-27; now reported by VANGUARD PORTFOLIO MANAGEMENT LLC)
Insider purchases and sales in Q3 2023
Shares bought or sold by the company's own officers, directors and 10% owners, in the open market or privately, as they reported to the SEC on Form 4 (due within two business days of the trade). Grants, option exercises, shares withheld for tax and gifts aren't included.
Officers and directors buying vs selling
Number of people, by quarter (10% owners not included)
Numbers
| Quarter | Buying | Bought | Selling | Sold | Sold under a plan |
|---|---|---|---|---|---|
| Q4 2021 | 0 | — | 4 | $2.7m | — |
| Q1 2022 | 0 | — | 0 | — | — |
| Q2 2022 | 0 | — | 2 | $950.8k | — |
| Q3 2022 | 0 | — | 3 | $3.2m | — |
| Q4 2022 | 0 | — | 3 | $4.8m | — |
| Q1 2023 | 0 | — | 0 | — | — |
| Q2 2023 | 0 | — | 0 | — | — |
| Q3 2023 | 0 | — | 0 | — | — |
None reported in Q3 2023.
Holders, Q3 2023
| Manager | Shares | Change |
|---|---|---|
| BlackRock Inc. 0.00% of their portfolio | 17.1m $165.1m | Reduced -151.1k |
| Trigran Investments, Inc. 9.89% of their portfolio | 9.6m $92.8m | Added +2.7m |
| VANGUARD GROUP INC 0.00% of their portfolio | 9.4m $90.5m | Added +847.8k |
| WELLINGTON MANAGEMENT GROUP LLP 0.02% of their portfolio | 7.8m $75.2m | Added +95.3k |
| SCOPIA CAPITAL MANAGEMENT LP 7.11% of their portfolio | 5.6m $54.4m | Added +2.5m |
| STATE STREET CORP 0.00% of their portfolio | 4.0m $38.7m | Added +211.9k |
| DIMENSIONAL FUND ADVISORS LP 0.01% of their portfolio | 3.3m $31.8m | Added +9.8k |
| Polar Asset Management Partners Inc. 0.67% of their portfolio | 2.9m $27.6m | Added +687.9k |
| GEODE CAPITAL MANAGEMENT, LLC 0.00% of their portfolio | 2.3m $22.5m | Added +86.8k |
| AMERIPRISE FINANCIAL INC 0.01% of their portfolio | 2.3m $22.2m | Reduced -173.0k |
| Toronado Partners, LLC 10.98% of their portfolio | 2.0m $19.4m | Added +1.2m |
| Leeward Investments, LLC - MA 0.97% of their portfolio | 2.0m $19.0m | Added +748.5k |
| Nuveen Asset Management, LLC 0.01% of their portfolio | 1.7m $16.8m | Added +160.9k |
| VICTORY CAPITAL MANAGEMENT INC 0.02% of their portfolio | 1.7m $16.3m | Added +562.0k |
| MORGAN STANLEY 0.00% of their portfolio | 1.7m $15.9m | Reduced -355.3k |
| KENNEDY CAPITAL MANAGEMENT LLC 0.38% of their portfolio | 1.6m $15.8m | Added +907.1k |
| Hood River Capital Management LLC 0.38% of their portfolio | 1.2m $11.8m | Reduced -2.4m |
| RK Capital Management, LLC 2.70% of their portfolio | 1.2m $11.4m | Added +115.9k |
| NORTHERN TRUST CORP 0.00% of their portfolio | 1.2m $11.2m | Reduced -6.7k |
| CenterBook Partners LP 1.40% of their portfolio | 1.2m $11.2m | Added +618.3k |
| Granahan Investment Management, LLC 0.39% of their portfolio | 1.1m $11.0m | Added +151.5k |
| VOYA INVESTMENT MANAGEMENT LLC 0.01% of their portfolio | 1.1m $10.8m | Added +14.1k |
| PRELUDE CAPITAL MANAGEMENT, LLC 0.97% of their portfolio | 1.1m $10.8m | Added +608.3k |
| TWO SIGMA INVESTMENTS, LP 0.03% of their portfolio | 1.1m $10.1m | Added +46.0k |
| SYSTEMATIC FINANCIAL MANAGEMENT LP 0.32% of their portfolio | 1.0m $9.8m | Added +163.2k |
| EMERALD ADVISERS, LLC 0.47% of their portfolio | 1.0m $9.8m | Added +132.8k |
| DigitalBridge Group, Inc. 1.12% of their portfolio | 932.1k $9.0m | Added +520.4k |
| BOOTHBAY FUND MANAGEMENT, LLC 0.27% of their portfolio | 894.2k $8.6m | Added +621.3k |
| CHARLES SCHWAB INVESTMENT MANAGEMENT INC 0.00% of their portfolio | 882.1k $8.5m | Added +30.8k |
| Bank of New York Mellon Corp 0.00% of their portfolio | 843.1k $8.1m | Reduced -51.8k |
| TWO SIGMA ADVISERS, LP 0.02% of their portfolio | 805.6k $7.8m | Reduced -26.0k |
| ROYCE & ASSOCIATES LP 0.08% of their portfolio | 785.4k $7.6m | Reduced -706.8k |
| THORNBURG INVESTMENT MANAGEMENT INC 0.12% of their portfolio | 757.4k $7.3m | Reduced -370 |
| WASATCH ADVISORS LP 0.05% of their portfolio | 741.4k $7.1m | Added +166.3k |
| EMERALD MUTUAL FUND ADVISERS TRUST 0.43% of their portfolio | 739.7k $7.1m | Added +49.1k |
| Assenagon Asset Management S.A. 0.02% of their portfolio | 674.9k $6.5m | Reduced -937.7k |
| HERALD INVESTMENT MANAGEMENT Ltd 1.33% of their portfolio | 650.0k $6.3m | Added +75.0k |
| Invesco Ltd. 0.00% of their portfolio | 641.0k $6.2m | Reduced -716.9k |
| STATE OF WISCONSIN INVESTMENT BOARD 0.02% of their portfolio | 625.1k $6.0m | Added +167.6k |
| PRINCIPAL FINANCIAL GROUP INC 0.00% of their portfolio | 598.4k $5.8m | Reduced -310.7k |
| Cinctive Capital Management LP 0.28% of their portfolio | 530.4k $5.1m | Reduced -77.1k |
| ARDSLEY ADVISORY PARTNERS LP 1.25% of their portfolio | 478.5k $4.6m | Reduced -385.0k |
| DISCOVERY CAPITAL MANAGEMENT, LLC / CT 0.76% of their portfolio | 439.4k $4.2m | Added +25.7k |
| Clearline Capital LP 0.38% of their portfolio | 402.1k $3.9m | New |
| Squarepoint Ops LLC 0.02% of their portfolio | 394.9k $3.8m | Added +130.0k |
| Cerity Partners LLC 0.02% of their portfolio | 349.6k $3.4m | Added +60.0k |
| Advantage Alpha Capital Partners LP 0.69% of their portfolio | 342.3k $3.3m | New |
| JPMORGAN CHASE & CO 0.00% of their portfolio | 327.3k $3.2m | Added +70.3k |
| GOLDMAN SACHS GROUP INC 0.00% of their portfolio | 313.3k $3.0m | Reduced -319.3k |
| RICE HALL JAMES & ASSOCIATES, LLC 0.19% of their portfolio | 311.7k $3.0m | Added +47.3k |
| RHUMBLINE ADVISERS 0.00% of their portfolio | 309.4k $3.0m | Reduced -1.5k |
| Legal & General Group Plc 0.00% of their portfolio | 305.0k $2.9m | Reduced -7.7k |
| Stanley-Laman Group, Ltd. 0.47% of their portfolio | 288.9k $2.8m | Added +114.2k |
| MUTUAL OF AMERICA CAPITAL MANAGEMENT LLC 0.03% of their portfolio | 251.5k $2.4m | Added +229.8k |
| Swiss National Bank 0.00% of their portfolio | 232.6k $2.2m | Added +2.9k |
| NEW YORK STATE TEACHERS RETIREMENT SYSTEM 0.01% of their portfolio | 228.4k $2.2m | Reduced -12.6k |
| VOLORIDGE INVESTMENT MANAGEMENT, LLC 0.01% of their portfolio | 228.4k $2.2m | Added +68.8k |
| TUDOR INVESTMENT CORP ET AL 0.03% of their portfolio | 224.3k $2.2m | Added +195.4k |
| FIRST TRUST ADVISORS LP 0.00% of their portfolio | 216.9k $2.1m | Added +32.1k |
| NEEDHAM INVESTMENT MANAGEMENT LLC 0.33% of their portfolio | 200.0k $1.9m | New |
| PRICE T ROWE ASSOCIATES INC /MD/ 0.00% of their portfolio | 198.3k $1.9m | Added +38.8k |
| MARSHALL WACE, LLP 0.00% of their portfolio | 197.9k $1.9m | Added +169.2k |
| RENAISSANCE TECHNOLOGIES LLC 0.00% of their portfolio | 194.1k $1.9m | Reduced -381.3k |
| AXA S.A. 0.01% of their portfolio | 184.9k $1.8m | Reduced -3.2k |
| SUSQUEHANNA INTERNATIONAL GROUP, LLP 0.00% of their portfolio | 168.8k $1.6m | Added +74.9k |
| JUPITER ASSET MANAGEMENT LTD 0.02% of their portfolio | 168.2k $1.6m | Added +119.8k |
| OVERSEA-CHINESE BANKING Corp Ltd 0.07% of their portfolio | 160.5k $1.5m | Added +2.2k |
| UBS AM, a distinct business unit of UBS ASSET MANAGEMENT AMERICAS LLC 0.00% of their portfolio | 158.2k $1.5m | Reduced -21.0k |
| Qube Research & Technologies Ltd 0.00% of their portfolio | 156.2k $1.5m | Reduced -135.2k |
| CREDIT SUISSE AG/ 0.00% of their portfolio | 145.0k $1.4m | Added +2.8k |
| 272 Capital LP 0.56% of their portfolio | 145.0k $1.4m | New |
| Russell Investments Group, Ltd. 0.00% of their portfolio | 141.8k $1.4m | Reduced -309.3k |
| Public Sector Pension Investment Board 0.01% of their portfolio | 138.3k $1.3m | Reduced -59.3k |
| PRUDENTIAL FINANCIAL INC 0.00% of their portfolio | 130.6k $1.3m | Reduced -6.4k |
| Skylands Capital, LLC 0.19% of their portfolio | 128.9k $1.2m | New |
| Raymond James Financial Services Advisors, Inc. 0.00% of their portfolio | 122.9k $1.2m | Added +104.1k |
| BNP PARIBAS FINANCIAL MARKETS 0.00% of their portfolio | 119.9k $1.2m | Reduced -250.1k |
| ALLIANCEBERNSTEIN L.P. 0.00% of their portfolio | 119.1k $1.1m | Reduced -2.2k |
| CANADA LIFE ASSURANCE Co 0.00% of their portfolio | 118.9k $1.1m | Reduced -2.7k |
| CALIFORNIA STATE TEACHERS RETIREMENT SYSTEM 0.00% of their portfolio | 117.8k $1.1m | Reduced -11.7k |
| D. E. Shaw & Co., Inc. 0.00% of their portfolio | 113.1k $1.1m | Reduced -112.5k |
| WHITE PINE CAPITAL LLC 0.42% of their portfolio | 108.2k $1.0m | Reduced -397 |
| Thrivent Financial for Lutherans 0.00% of their portfolio | 102.4k $986.0k | Reduced -4.1k |
| LAZARD ASSET MANAGEMENT LLC 0.00% of their portfolio | 101.7k $979.0k | Reduced -203.7k |
| MANUFACTURERS LIFE INSURANCE COMPANY, THE 0.00% of their portfolio | 100.0k $955.0k | Added +11.8k |
| TEXAS PERMANENT SCHOOL FUND CORP 0.01% of their portfolio | 95.0k $915.3k | Reduced -3.0k |
| BANK OF AMERICA CORP /DE/ 0.00% of their portfolio | 84.8k $816.5k | Reduced -30.4k |
| Allspring Global Investments Holdings, LLC 0.00% of their portfolio | 83.3k $802.2k | Reduced -828.9k |
| Waterfront Wealth Inc. 0.29% of their portfolio | 82.8k $887.4k | Added +34.2k |
| CITADEL ADVISORS LLC 0.00% of their portfolio | 75.5k $726.6k | Added +31.4k |
| COMMONWEALTH OF PENNSYLVANIA PUBLIC SCHOOL EMPLS RETRMT SYS 0.01% of their portfolio | 74.8k $720.5k | Reduced -51.1k |
| Millrace Asset Group, Inc. 0.86% of their portfolio | 72.2k $695.0k | Reduced -184.7k |
| Walleye Capital LLC 0.01% of their portfolio | 71.1k $684.4k | New |
| State of Alaska, Department of Revenue 0.01% of their portfolio | 69.7k $671.0k | Reduced -3.6k |
| FMR LLC 0.00% of their portfolio | 67.4k $649.4k | Reduced -1.6m |
| Illinois Municipal Retirement Fund 0.01% of their portfolio | 66.0k $635.0k | New |
| CAPITAL FUND MANAGEMENT S.A. 0.01% of their portfolio | 65.9k $634.4k | Added +21.4k |
| RAYMOND JAMES & ASSOCIATES 0.00% of their portfolio | 64.6k $622.0k | Reduced -19.9k |
| Boston Partners 0.00% of their portfolio | 62.3k $600.1k | New |
| DEUTSCHE BANK AG\ 0.00% of their portfolio | 61.6k $593.3k | Reduced -308.5k |