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HARMONIC INC. 401(K) PLAN 401k Plan overview

Plan NameHARMONIC INC. 401(K) PLAN
Plan identification number 001

HARMONIC INC. 401(K) PLAN Benefits

401k Plan TypeDefined Contribution Pension
Plan Features/Benefits
  • ERISA section 404(c) Plan - This plan, or any part of it is intended to meet the conditions of 29 CFR 2550.404c-1.
  • Total participant-directed account plan - Participants have the opportunity to direct the investment of all the assets allocated to their individual accounts, regardless of whether 29 CFR 2550.404c-1 is intended to be met.
  • Code section 401(k) feature - A cash or deferred arrangement described in Code section 401(k) that is part of a qualified defined contribution plan that provides for an election by employees to defer part of their compensation or receive these amounts in cash.
  • Code section 401(m) arrangement - Employee contributions are allocated to separate accounts under the plan or employer contributions are based, in whole or in part, on employee deferrals or contribtions to the plan. Not applicable if plan is 401(k) plan with only QNECs and/or QMACs. Also not applicable if Code section 403(b)(1), 403(b)(7) or 408 arrangements/accounts/annuities.
  • ESOP other than a leveraged ESOP - A completed Schedule E must be attached to a Form 5500 filed for an Employee Stock Ownership Plan (ESOP).
  • Participant-directed brokerage accounts provided as an investment option under the plan.
  • Total or partial participant-directed account plan - plan uses default investment account for participants who fail to direct assets in their account.
  • Master plan - A pension plan that is made available by a sponsor for adoption by employers; that is the subject of a favorable opinion letter; and for which a single funding medium (for example, a trust or custodial account) is established for the joint use of all adopting employers.

401k Sponsoring company profile

HARMONIC INC. has sponsored the creation of one or more 401k plans.

Company Name:HARMONIC INC.
Employer identification number (EIN):770201147
NAIC Classification:334200

Form 5500 Filing Information

Submission information for form 5500 for 401k plan HARMONIC INC. 401(K) PLAN

Plan id# Filing Submission Date Name of Administrator Date Administrator SignedName of Company SponsorDate Sponsor Signed
0012022-01-01
0012021-01-01
0012020-01-01
0012019-01-01
0012018-01-01
0012017-01-01REGINA JASSO
0012016-01-01REGINA JASSO
0012015-01-01REGINA JASSO
0012014-01-01REGINA JASSO
0012013-01-01REGINA JASSO
0012012-01-01REGINA JASSO
0012011-01-01REGINA JASSO
0012009-01-01REGINA JASSO

Plan Statistics for HARMONIC INC. 401(K) PLAN

401k plan membership statisitcs for HARMONIC INC. 401(K) PLAN

Measure Date Value
2022: HARMONIC INC. 401(K) PLAN 2022 401k membership
Total participants, beginning-of-year2022-01-01693
Total number of active participants reported on line 7a of the Form 55002022-01-01381
Number of retired or separated participants receiving benefits2022-01-010
Number of other retired or separated participants entitled to future benefits2022-01-01313
Total of all active and inactive participants2022-01-01694
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits2022-01-013
Total participants2022-01-01697
Number of participants with account balances2022-01-01613
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested2022-01-010
2021: HARMONIC INC. 401(K) PLAN 2021 401k membership
Total participants, beginning-of-year2021-01-01685
Total number of active participants reported on line 7a of the Form 55002021-01-01380
Number of retired or separated participants receiving benefits2021-01-010
Number of other retired or separated participants entitled to future benefits2021-01-01311
Total of all active and inactive participants2021-01-01691
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits2021-01-012
Total participants2021-01-01693
Number of participants with account balances2021-01-01615
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested2021-01-010
2020: HARMONIC INC. 401(K) PLAN 2020 401k membership
Total participants, beginning-of-year2020-01-01692
Total number of active participants reported on line 7a of the Form 55002020-01-01368
Number of retired or separated participants receiving benefits2020-01-010
Number of other retired or separated participants entitled to future benefits2020-01-01315
Total of all active and inactive participants2020-01-01683
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits2020-01-012
Total participants2020-01-01685
Number of participants with account balances2020-01-01602
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested2020-01-010
2019: HARMONIC INC. 401(K) PLAN 2019 401k membership
Total participants, beginning-of-year2019-01-01720
Total number of active participants reported on line 7a of the Form 55002019-01-01368
Number of retired or separated participants receiving benefits2019-01-010
Number of other retired or separated participants entitled to future benefits2019-01-01323
Total of all active and inactive participants2019-01-01691
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits2019-01-011
Total participants2019-01-01692
Number of participants with account balances2019-01-01604
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested2019-01-010
2018: HARMONIC INC. 401(K) PLAN 2018 401k membership
Total participants, beginning-of-year2018-01-01781
Total number of active participants reported on line 7a of the Form 55002018-01-01382
Number of retired or separated participants receiving benefits2018-01-010
Number of other retired or separated participants entitled to future benefits2018-01-01337
Total of all active and inactive participants2018-01-01719
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits2018-01-011
Total participants2018-01-01720
Number of participants with account balances2018-01-01631
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested2018-01-010
2017: HARMONIC INC. 401(K) PLAN 2017 401k membership
Total participants, beginning-of-year2017-01-01845
Total number of active participants reported on line 7a of the Form 55002017-01-01429
Number of retired or separated participants receiving benefits2017-01-010
Number of other retired or separated participants entitled to future benefits2017-01-01351
Total of all active and inactive participants2017-01-01780
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits2017-01-011
Total participants2017-01-01781
Number of participants with account balances2017-01-01679
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested2017-01-010
2016: HARMONIC INC. 401(K) PLAN 2016 401k membership
Total participants, beginning-of-year2016-01-01860
Total number of active participants reported on line 7a of the Form 55002016-01-01509
Number of retired or separated participants receiving benefits2016-01-010
Number of other retired or separated participants entitled to future benefits2016-01-01335
Total of all active and inactive participants2016-01-01844
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits2016-01-011
Total participants2016-01-01845
Number of participants with account balances2016-01-01716
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested2016-01-010
2015: HARMONIC INC. 401(K) PLAN 2015 401k membership
Total participants, beginning-of-year2015-01-01908
Total number of active participants reported on line 7a of the Form 55002015-01-01508
Number of retired or separated participants receiving benefits2015-01-010
Number of other retired or separated participants entitled to future benefits2015-01-01350
Total of all active and inactive participants2015-01-01858
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits2015-01-012
Total participants2015-01-01860
Number of participants with account balances2015-01-01735
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested2015-01-010
2014: HARMONIC INC. 401(K) PLAN 2014 401k membership
Total participants, beginning-of-year2014-01-01924
Total number of active participants reported on line 7a of the Form 55002014-01-01537
Number of retired or separated participants receiving benefits2014-01-010
Number of other retired or separated participants entitled to future benefits2014-01-01369
Total of all active and inactive participants2014-01-01906
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits2014-01-012
Total participants2014-01-01908
Number of participants with account balances2014-01-01786
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested2014-01-010
2013: HARMONIC INC. 401(K) PLAN 2013 401k membership
Total participants, beginning-of-year2013-01-01993
Total number of active participants reported on line 7a of the Form 55002013-01-01551
Number of retired or separated participants receiving benefits2013-01-010
Number of other retired or separated participants entitled to future benefits2013-01-01373
Total of all active and inactive participants2013-01-01924
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits2013-01-010
Total participants2013-01-01924
Number of participants with account balances2013-01-01804
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested2013-01-011
2012: HARMONIC INC. 401(K) PLAN 2012 401k membership
Total participants, beginning-of-year2012-01-011,015
Total number of active participants reported on line 7a of the Form 55002012-01-01659
Number of retired or separated participants receiving benefits2012-01-010
Number of other retired or separated participants entitled to future benefits2012-01-01333
Total of all active and inactive participants2012-01-01992
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits2012-01-011
Total participants2012-01-01993
Number of participants with account balances2012-01-01825
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested2012-01-010
2011: HARMONIC INC. 401(K) PLAN 2011 401k membership
Total participants, beginning-of-year2011-01-01990
Total number of active participants reported on line 7a of the Form 55002011-01-01689
Number of other retired or separated participants entitled to future benefits2011-01-01325
Total of all active and inactive participants2011-01-011,014
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits2011-01-011
Total participants2011-01-011,015
Number of participants with account balances2011-01-01806
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested2011-01-010
2009: HARMONIC INC. 401(K) PLAN 2009 401k membership
Total participants, beginning-of-year2009-01-01833
Total number of active participants reported on line 7a of the Form 55002009-01-01462
Number of retired or separated participants receiving benefits2009-01-010
Number of other retired or separated participants entitled to future benefits2009-01-01329
Total of all active and inactive participants2009-01-01791
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits2009-01-010
Total participants2009-01-01791
Number of participants with account balances2009-01-01697
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested2009-01-010

Financial Data on HARMONIC INC. 401(K) PLAN

Measure Date Value
2022 : HARMONIC INC. 401(K) PLAN 2022 401k financial data
Total unrealized appreciation/depreciation of assets2022-12-31$0
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)2022-12-31$0
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)2022-12-31$0
Total income from all sources (including contributions)2022-12-31$-22,344,911
Total loss/gain on sale of assets2022-12-31$0
Total of all expenses incurred2022-12-31$7,548,544
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others2022-12-31$7,497,040
Value of total corrective distributions2022-12-31$9,040
Total contributions o plan (from employers,participants, others, non cash contrinutions)2022-12-31$5,569,939
Value of total assets at end of year2022-12-31$115,930,815
Value of total assets at beginning of year2022-12-31$145,824,270
Total of administrative expenses incurred including professional, contract, advisory and management fees2022-12-31$42,464
Total interest from all sources2022-12-31$23,956
Total dividends received (eg from common stock, registered investment company shares)2022-12-31$3,742,930
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year2022-12-31No
Total dividends received from registered investment company shares (eg mutual funds)2022-12-31$3,742,930
Was this plan covered by a fidelity bond2022-12-31Yes
Value of fidelity bond cover2022-12-31$3,000,000
If this is an individual account plan, was there a blackout period2022-12-31No
Were there any nonexempt tranactions with any party-in-interest2022-12-31No
Contributions received from participants2022-12-31$5,205,989
Participant contributions at end of year2022-12-31$468,443
Participant contributions at beginning of year2022-12-31$480,137
Assets. Other investments not covered elsewhere at end of year2022-12-31$7,690,811
Assets. Other investments not covered elsewhere at beginning of year2022-12-31$9,481,330
Income. Received or receivable in cash from other sources (including rollovers)2022-12-31$72,504
Other income not declared elsewhere2022-12-31$-2,034,934
Administrative expenses (other) incurred2022-12-31$26,491
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser2022-12-31No
Value of net income/loss2022-12-31$-29,893,455
Value of net assets at end of year (total assets less liabilities)2022-12-31$115,930,815
Value of net assets at beginning of year (total assets less liabilities)2022-12-31$145,824,270
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)2022-12-31No
Were any loans by the plan or fixed income obligations due to the plan in default2022-12-31No
Were any leases to which the plan was party in default or uncollectible2022-12-31No
Assets. partnership/joint venture interests at end of year2022-12-31$42,194
Assets. partnership/joint venture interests at beginning of year2022-12-31$54,914
Investment advisory and management fees2022-12-31$15,973
Value of interest in registered invesment companies (eg mutual funds) at end of year2022-12-31$93,845,978
Value of interest in registered invesment companies (eg mutual funds) at beginning of year2022-12-31$123,410,568
Interest on participant loans2022-12-31$23,956
Value of interest in common/collective trusts at end of year2022-12-31$13,883,389
Value of interest in common/collective trusts at beginning of year2022-12-31$12,397,321
Net investment gain/loss from registered investment companies (e.g. mutual funds)2022-12-31$-29,865,272
Net investment gain or loss from common/collective trusts2022-12-31$218,470
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets2022-12-31No
Was there a failure to transmit to the plan any participant contributions2022-12-31No
Has the plan failed to provide any benefit when due under the plan2022-12-31No
Contributions received in cash from employer2022-12-31$291,446
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers2022-12-31$7,497,040
Did the plan have assets held for investment2022-12-31Yes
Did the plan hold any assets whose current value was neither redily determinable on an established market nor set by an independent third party appraiser2022-12-31No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC2022-12-31No
Opinion of an independent qualified public accountant for this plan2022-12-31Unqualified
Accountancy firm name2022-12-31WITHUMSMITH+BROWN, PC
Accountancy firm EIN2022-12-31222027092
2021 : HARMONIC INC. 401(K) PLAN 2021 401k financial data
Total unrealized appreciation/depreciation of assets2021-12-31$0
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)2021-12-31$0
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)2021-12-31$0
Total income from all sources (including contributions)2021-12-31$24,974,680
Total loss/gain on sale of assets2021-12-31$0
Total of all expenses incurred2021-12-31$7,271,179
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others2021-12-31$7,239,312
Total contributions o plan (from employers,participants, others, non cash contrinutions)2021-12-31$6,399,608
Value of total assets at end of year2021-12-31$145,824,270
Value of total assets at beginning of year2021-12-31$128,120,769
Total of administrative expenses incurred including professional, contract, advisory and management fees2021-12-31$31,867
Total interest from all sources2021-12-31$26,599
Total dividends received (eg from common stock, registered investment company shares)2021-12-31$8,577,390
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year2021-12-31No
Total dividends received from registered investment company shares (eg mutual funds)2021-12-31$8,577,390
Was this plan covered by a fidelity bond2021-12-31Yes
Value of fidelity bond cover2021-12-31$3,000,000
If this is an individual account plan, was there a blackout period2021-12-31No
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities2021-12-31$0
Were there any nonexempt tranactions with any party-in-interest2021-12-31No
Contributions received from participants2021-12-31$5,034,147
Participant contributions at end of year2021-12-31$480,137
Participant contributions at beginning of year2021-12-31$510,254
Assets. Other investments not covered elsewhere at end of year2021-12-31$9,481,330
Assets. Other investments not covered elsewhere at beginning of year2021-12-31$7,197,462
Income. Received or receivable in cash from other sources (including rollovers)2021-12-31$1,090,248
Other income not declared elsewhere2021-12-31$574,081
Administrative expenses (other) incurred2021-12-31$14,373
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser2021-12-31No
Value of net income/loss2021-12-31$17,703,501
Value of net assets at end of year (total assets less liabilities)2021-12-31$145,824,270
Value of net assets at beginning of year (total assets less liabilities)2021-12-31$128,120,769
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)2021-12-31No
Were any loans by the plan or fixed income obligations due to the plan in default2021-12-31No
Were any leases to which the plan was party in default or uncollectible2021-12-31No
Assets. partnership/joint venture interests at end of year2021-12-31$54,914
Assets. partnership/joint venture interests at beginning of year2021-12-31$43,595
Investment advisory and management fees2021-12-31$17,494
Value of interest in registered invesment companies (eg mutual funds) at end of year2021-12-31$123,410,568
Value of interest in registered invesment companies (eg mutual funds) at beginning of year2021-12-31$109,101,296
Interest on participant loans2021-12-31$26,599
Value of interest in common/collective trusts at end of year2021-12-31$12,397,321
Value of interest in common/collective trusts at beginning of year2021-12-31$11,268,162
Net investment gain/loss from registered investment companies (e.g. mutual funds)2021-12-31$9,219,717
Net investment gain or loss from common/collective trusts2021-12-31$177,285
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets2021-12-31No
Was there a failure to transmit to the plan any participant contributions2021-12-31No
Has the plan failed to provide any benefit when due under the plan2021-12-31No
Contributions received in cash from employer2021-12-31$275,213
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers2021-12-31$7,239,312
Did the plan have assets held for investment2021-12-31Yes
Did the plan hold any assets whose current value was neither redily determinable on an established market nor set by an independent third party appraiser2021-12-31No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC2021-12-31No
Opinion of an independent qualified public accountant for this plan2021-12-31Unqualified
Accountancy firm name2021-12-31WITHUMSMITH+BROWN, PC
Accountancy firm EIN2021-12-31222027092
2020 : HARMONIC INC. 401(K) PLAN 2020 401k financial data
Total unrealized appreciation/depreciation of assets2020-12-31$0
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)2020-12-31$0
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)2020-12-31$0
Total income from all sources (including contributions)2020-12-31$29,413,578
Total loss/gain on sale of assets2020-12-31$0
Total of all expenses incurred2020-12-31$6,736,414
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others2020-12-31$6,689,132
Total contributions o plan (from employers,participants, others, non cash contrinutions)2020-12-31$5,658,105
Value of total assets at end of year2020-12-31$128,120,769
Value of total assets at beginning of year2020-12-31$105,443,605
Total of administrative expenses incurred including professional, contract, advisory and management fees2020-12-31$47,282
Total interest from all sources2020-12-31$27,037
Total dividends received (eg from common stock, registered investment company shares)2020-12-31$4,517,072
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year2020-12-31No
Total dividends received from registered investment company shares (eg mutual funds)2020-12-31$4,517,072
Was this plan covered by a fidelity bond2020-12-31Yes
Value of fidelity bond cover2020-12-31$3,000,000
If this is an individual account plan, was there a blackout period2020-12-31No
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities2020-12-31$0
Were there any nonexempt tranactions with any party-in-interest2020-12-31No
Contributions received from participants2020-12-31$4,741,060
Participant contributions at end of year2020-12-31$510,254
Participant contributions at beginning of year2020-12-31$588,846
Assets. Other investments not covered elsewhere at end of year2020-12-31$7,197,462
Assets. Other investments not covered elsewhere at beginning of year2020-12-31$4,431,910
Income. Received or receivable in cash from other sources (including rollovers)2020-12-31$655,038
Other income not declared elsewhere2020-12-31$1,646,052
Administrative expenses (other) incurred2020-12-31$29,583
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser2020-12-31No
Value of net income/loss2020-12-31$22,677,164
Value of net assets at end of year (total assets less liabilities)2020-12-31$128,120,769
Value of net assets at beginning of year (total assets less liabilities)2020-12-31$105,443,605
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)2020-12-31No
Were any loans by the plan or fixed income obligations due to the plan in default2020-12-31No
Were any leases to which the plan was party in default or uncollectible2020-12-31No
Assets. partnership/joint venture interests at end of year2020-12-31$43,595
Assets. partnership/joint venture interests at beginning of year2020-12-31$3,093
Investment advisory and management fees2020-12-31$17,699
Value of interest in registered invesment companies (eg mutual funds) at end of year2020-12-31$109,101,296
Value of interest in registered invesment companies (eg mutual funds) at beginning of year2020-12-31$91,260,718
Interest on participant loans2020-12-31$27,037
Value of interest in common/collective trusts at end of year2020-12-31$11,268,162
Value of interest in common/collective trusts at beginning of year2020-12-31$9,159,038
Net investment gain/loss from registered investment companies (e.g. mutual funds)2020-12-31$17,358,102
Net investment gain or loss from common/collective trusts2020-12-31$207,210
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets2020-12-31No
Was there a failure to transmit to the plan any participant contributions2020-12-31No
Has the plan failed to provide any benefit when due under the plan2020-12-31No
Contributions received in cash from employer2020-12-31$262,007
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers2020-12-31$6,689,132
Did the plan have assets held for investment2020-12-31Yes
Did the plan hold any assets whose current value was neither redily determinable on an established market nor set by an independent third party appraiser2020-12-31No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC2020-12-31No
Opinion of an independent qualified public accountant for this plan2020-12-31Disclaimer
Accountancy firm name2020-12-31LINDQUIST LLP
Accountancy firm EIN2020-12-31522385296
2019 : HARMONIC INC. 401(K) PLAN 2019 401k financial data
Total unrealized appreciation/depreciation of assets2019-12-31$0
Total unrealized appreciation/depreciation of assets2019-12-31$0
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)2019-12-31$0
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)2019-12-31$0
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)2019-12-31$0
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)2019-12-31$0
Total income from all sources (including contributions)2019-12-31$25,033,575
Total loss/gain on sale of assets2019-12-31$0
Total loss/gain on sale of assets2019-12-31$0
Total of all expenses incurred2019-12-31$9,012,799
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others2019-12-31$8,983,684
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others2019-12-31$8,983,684
Total contributions o plan (from employers,participants, others, non cash contrinutions)2019-12-31$5,238,111
Total contributions o plan (from employers,participants, others, non cash contrinutions)2019-12-31$5,238,111
Value of total assets at end of year2019-12-31$105,443,605
Value of total assets at end of year2019-12-31$105,443,605
Value of total assets at beginning of year2019-12-31$89,422,829
Value of total assets at beginning of year2019-12-31$89,422,829
Total of administrative expenses incurred including professional, contract, advisory and management fees2019-12-31$29,115
Total interest from all sources2019-12-31$25,917
Total interest from all sources2019-12-31$25,917
Total dividends received (eg from common stock, registered investment company shares)2019-12-31$4,566,889
Total dividends received (eg from common stock, registered investment company shares)2019-12-31$4,566,889
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year2019-12-31No
Total dividends received from registered investment company shares (eg mutual funds)2019-12-31$4,566,889
Total dividends received from registered investment company shares (eg mutual funds)2019-12-31$4,566,889
Was this plan covered by a fidelity bond2019-12-31Yes
Was this plan covered by a fidelity bond2019-12-31Yes
Value of fidelity bond cover2019-12-31$3,000,000
If this is an individual account plan, was there a blackout period2019-12-31No
If this is an individual account plan, was there a blackout period2019-12-31No
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities2019-12-31$0
Were there any nonexempt tranactions with any party-in-interest2019-12-31No
Were there any nonexempt tranactions with any party-in-interest2019-12-31No
Contributions received from participants2019-12-31$4,575,434
Contributions received from participants2019-12-31$4,575,434
Participant contributions at end of year2019-12-31$588,846
Participant contributions at end of year2019-12-31$588,846
Participant contributions at beginning of year2019-12-31$487,039
Participant contributions at beginning of year2019-12-31$487,039
Participant contributions at end of year2019-12-31$0
Participant contributions at end of year2019-12-31$0
Participant contributions at beginning of year2019-12-31$6,327
Participant contributions at beginning of year2019-12-31$6,327
Assets. Other investments not covered elsewhere at end of year2019-12-31$4,431,910
Assets. Other investments not covered elsewhere at beginning of year2019-12-31$3,518,799
Assets. Other investments not covered elsewhere at beginning of year2019-12-31$3,518,799
Income. Received or receivable in cash from other sources (including rollovers)2019-12-31$399,805
Income. Received or receivable in cash from other sources (including rollovers)2019-12-31$399,805
Other income not declared elsewhere2019-12-31$694,820
Other income not declared elsewhere2019-12-31$694,820
Administrative expenses (other) incurred2019-12-31$14,165
Administrative expenses (other) incurred2019-12-31$14,165
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser2019-12-31No
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser2019-12-31No
Value of net income/loss2019-12-31$16,020,776
Value of net assets at end of year (total assets less liabilities)2019-12-31$105,443,605
Value of net assets at end of year (total assets less liabilities)2019-12-31$105,443,605
Value of net assets at beginning of year (total assets less liabilities)2019-12-31$89,422,829
Value of net assets at beginning of year (total assets less liabilities)2019-12-31$89,422,829
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)2019-12-31No
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)2019-12-31No
Were any loans by the plan or fixed income obligations due to the plan in default2019-12-31No
Were any loans by the plan or fixed income obligations due to the plan in default2019-12-31No
Were any leases to which the plan was party in default or uncollectible2019-12-31No
Were any leases to which the plan was party in default or uncollectible2019-12-31No
Assets. partnership/joint venture interests at end of year2019-12-31$3,093
Assets. partnership/joint venture interests at end of year2019-12-31$3,093
Assets. partnership/joint venture interests at beginning of year2019-12-31$2,918
Assets. partnership/joint venture interests at beginning of year2019-12-31$2,918
Investment advisory and management fees2019-12-31$14,950
Value of interest in registered invesment companies (eg mutual funds) at end of year2019-12-31$91,260,718
Value of interest in registered invesment companies (eg mutual funds) at end of year2019-12-31$91,260,718
Value of interest in registered invesment companies (eg mutual funds) at beginning of year2019-12-31$75,418,616
Value of interest in registered invesment companies (eg mutual funds) at beginning of year2019-12-31$75,418,616
Interest on participant loans2019-12-31$25,917
Interest on participant loans2019-12-31$25,917
Value of interest in common/collective trusts at end of year2019-12-31$9,159,038
Value of interest in common/collective trusts at beginning of year2019-12-31$9,989,111
Value of interest in common/collective trusts at beginning of year2019-12-31$9,989,111
Net investment gain/loss from registered investment companies (e.g. mutual funds)2019-12-31$14,301,326
Net investment gain/loss from registered investment companies (e.g. mutual funds)2019-12-31$14,301,326
Net investment gain or loss from common/collective trusts2019-12-31$206,512
Net investment gain or loss from common/collective trusts2019-12-31$206,512
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets2019-12-31No
Was there a failure to transmit to the plan any participant contributions2019-12-31No
Was there a failure to transmit to the plan any participant contributions2019-12-31No
Has the plan failed to provide any benefit when due under the plan2019-12-31No
Has the plan failed to provide any benefit when due under the plan2019-12-31No
Contributions received in cash from employer2019-12-31$262,872
Contributions received in cash from employer2019-12-31$262,872
Employer contributions (assets) at end of year2019-12-31$0
Employer contributions (assets) at end of year2019-12-31$0
Employer contributions (assets) at beginning of year2019-12-31$19
Employer contributions (assets) at beginning of year2019-12-31$19
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers2019-12-31$8,983,684
Did the plan have assets held for investment2019-12-31Yes
Did the plan have assets held for investment2019-12-31Yes
Did the plan hold any assets whose current value was neither redily determinable on an established market nor set by an independent third party appraiser2019-12-31No
Did the plan hold any assets whose current value was neither redily determinable on an established market nor set by an independent third party appraiser2019-12-31No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC2019-12-31No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC2019-12-31No
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d)2019-12-31Yes
Opinion of an independent qualified public accountant for this plan2019-12-31Disclaimer
Accountancy firm name2019-12-31LINDQUIST LLP
Accountancy firm EIN2019-12-31522385296
2018 : HARMONIC INC. 401(K) PLAN 2018 401k financial data
Unrealized appreciation/depreciation of other (non real estate) assets2018-12-31$349
Total unrealized appreciation/depreciation of assets2018-12-31$349
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)2018-12-31$0
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)2018-12-31$0
Total income from all sources (including contributions)2018-12-31$1,779,134
Total loss/gain on sale of assets2018-12-31$-663
Total of all expenses incurred2018-12-31$10,677,876
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others2018-12-31$10,647,139
Total contributions o plan (from employers,participants, others, non cash contrinutions)2018-12-31$5,536,708
Value of total assets at end of year2018-12-31$89,422,829
Value of total assets at beginning of year2018-12-31$98,321,571
Total of administrative expenses incurred including professional, contract, advisory and management fees2018-12-31$30,737
Total interest from all sources2018-12-31$23,389
Total dividends received (eg from common stock, registered investment company shares)2018-12-31$6,210,417
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year2018-12-31No
Total dividends received from registered investment company shares (eg mutual funds)2018-12-31$6,210,417
Was this plan covered by a fidelity bond2018-12-31Yes
Value of fidelity bond cover2018-12-31$3,000,000
If this is an individual account plan, was there a blackout period2018-12-31No
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities2018-12-31$0
Were there any nonexempt tranactions with any party-in-interest2018-12-31No
Contributions received from participants2018-12-31$4,677,710
Participant contributions at end of year2018-12-31$487,039
Participant contributions at beginning of year2018-12-31$638,164
Participant contributions at end of year2018-12-31$6,327
Participant contributions at beginning of year2018-12-31$77,470
Assets. Other investments not covered elsewhere at end of year2018-12-31$3,518,799
Assets. Other investments not covered elsewhere at beginning of year2018-12-31$3,112,025
Income. Received or receivable in cash from other sources (including rollovers)2018-12-31$580,243
Other income not declared elsewhere2018-12-31$-176,202
Administrative expenses (other) incurred2018-12-31$17,129
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser2018-12-31No
Value of net income/loss2018-12-31$-8,898,742
Value of net assets at end of year (total assets less liabilities)2018-12-31$89,422,829
Value of net assets at beginning of year (total assets less liabilities)2018-12-31$98,321,571
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)2018-12-31No
Were any loans by the plan or fixed income obligations due to the plan in default2018-12-31No
Were any leases to which the plan was party in default or uncollectible2018-12-31No
Assets. partnership/joint venture interests at end of year2018-12-31$2,918
Assets. partnership/joint venture interests at beginning of year2018-12-31$3,543
Investment advisory and management fees2018-12-31$13,608
Value of interest in registered invesment companies (eg mutual funds) at end of year2018-12-31$75,418,616
Value of interest in registered invesment companies (eg mutual funds) at beginning of year2018-12-31$85,272,522
Interest on participant loans2018-12-31$23,389
Value of interest in common/collective trusts at end of year2018-12-31$9,989,111
Value of interest in common/collective trusts at beginning of year2018-12-31$9,210,779
Net investment gain/loss from registered investment companies (e.g. mutual funds)2018-12-31$-9,998,141
Net investment gain or loss from common/collective trusts2018-12-31$183,277
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets2018-12-31No
Was there a failure to transmit to the plan any participant contributions2018-12-31No
Has the plan failed to provide any benefit when due under the plan2018-12-31No
Assets. Invements in employer securities at end of year2018-12-31$0
Assets. Invements in employer securities at beginning of year2018-12-31$4,943
Contributions received in cash from employer2018-12-31$278,755
Employer contributions (assets) at end of year2018-12-31$19
Employer contributions (assets) at beginning of year2018-12-31$2,125
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers2018-12-31$10,647,139
Did the plan have assets held for investment2018-12-31Yes
Did the plan hold any assets whose current value was neither redily determinable on an established market nor set by an independent third party appraiser2018-12-31No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC2018-12-31No
Aggregate proceeds on sale of assets2018-12-31$4,630
Aggregate carrying amount (costs) on sale of assets2018-12-31$5,293
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d)2018-12-31Yes
Opinion of an independent qualified public accountant for this plan2018-12-31Disclaimer
Accountancy firm name2018-12-31LINDQUIST LLP
Accountancy firm EIN2018-12-31522385296
2017 : HARMONIC INC. 401(K) PLAN 2017 401k financial data
Unrealized appreciation/depreciation of other (non real estate) assets2017-12-31$-939
Total unrealized appreciation/depreciation of assets2017-12-31$-939
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)2017-12-31$0
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)2017-12-31$0
Total income from all sources (including contributions)2017-12-31$21,374,589
Total loss/gain on sale of assets2017-12-31$-17
Total of all expenses incurred2017-12-31$9,126,882
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others2017-12-31$9,081,854
Value of total corrective distributions2017-12-31$1,779
Total contributions o plan (from employers,participants, others, non cash contrinutions)2017-12-31$6,291,431
Value of total assets at end of year2017-12-31$98,321,571
Value of total assets at beginning of year2017-12-31$86,073,864
Total of administrative expenses incurred including professional, contract, advisory and management fees2017-12-31$43,249
Total interest from all sources2017-12-31$29,126
Total dividends received (eg from common stock, registered investment company shares)2017-12-31$4,856,864
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year2017-12-31No
Total dividends received from registered investment company shares (eg mutual funds)2017-12-31$4,856,864
Was this plan covered by a fidelity bond2017-12-31Yes
Value of fidelity bond cover2017-12-31$3,000,000
If this is an individual account plan, was there a blackout period2017-12-31No
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities2017-12-31$0
Were there any nonexempt tranactions with any party-in-interest2017-12-31No
Contributions received from participants2017-12-31$5,571,973
Participant contributions at end of year2017-12-31$638,164
Participant contributions at beginning of year2017-12-31$835,278
Participant contributions at end of year2017-12-31$77,470
Participant contributions at beginning of year2017-12-31$0
Assets. Other investments not covered elsewhere at end of year2017-12-31$3,112,025
Assets. Other investments not covered elsewhere at beginning of year2017-12-31$2,666,509
Income. Received or receivable in cash from other sources (including rollovers)2017-12-31$370,460
Other income not declared elsewhere2017-12-31$369,790
Administrative expenses (other) incurred2017-12-31$37,882
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser2017-12-31No
Value of net income/loss2017-12-31$12,247,707
Value of net assets at end of year (total assets less liabilities)2017-12-31$98,321,571
Value of net assets at beginning of year (total assets less liabilities)2017-12-31$86,073,864
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)2017-12-31No
Were any loans by the plan or fixed income obligations due to the plan in default2017-12-31No
Were any leases to which the plan was party in default or uncollectible2017-12-31No
Assets. partnership/joint venture interests at end of year2017-12-31$3,543
Assets. partnership/joint venture interests at beginning of year2017-12-31$3,714
Investment advisory and management fees2017-12-31$5,367
Value of interest in registered invesment companies (eg mutual funds) at end of year2017-12-31$85,272,522
Value of interest in registered invesment companies (eg mutual funds) at beginning of year2017-12-31$72,583,173
Interest on participant loans2017-12-31$29,126
Value of interest in common/collective trusts at end of year2017-12-31$9,210,779
Value of interest in common/collective trusts at beginning of year2017-12-31$9,979,000
Net investment gain/loss from registered investment companies (e.g. mutual funds)2017-12-31$9,675,316
Net investment gain or loss from common/collective trusts2017-12-31$153,018
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets2017-12-31No
Was there a failure to transmit to the plan any participant contributions2017-12-31No
Has the plan failed to provide any benefit when due under the plan2017-12-31No
Assets. Invements in employer securities at end of year2017-12-31$4,943
Assets. Invements in employer securities at beginning of year2017-12-31$6,190
Contributions received in cash from employer2017-12-31$348,998
Employer contributions (assets) at end of year2017-12-31$2,125
Employer contributions (assets) at beginning of year2017-12-31$0
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers2017-12-31$9,081,854
Did the plan have assets held for investment2017-12-31Yes
Did the plan hold any assets whose current value was neither redily determinable on an established market nor set by an independent third party appraiser2017-12-31No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC2017-12-31No
Aggregate proceeds on sale of assets2017-12-31$313
Aggregate carrying amount (costs) on sale of assets2017-12-31$330
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d)2017-12-31Yes
Opinion of an independent qualified public accountant for this plan2017-12-31Disclaimer
Accountancy firm name2017-12-31LINDQUIST LLP
Accountancy firm EIN2017-12-31522385296
2016 : HARMONIC INC. 401(K) PLAN 2016 401k financial data
Unrealized appreciation/depreciation of other (non real estate) assets2016-12-31$1,172
Total unrealized appreciation/depreciation of assets2016-12-31$1,172
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)2016-12-31$0
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)2016-12-31$0
Total income from all sources (including contributions)2016-12-31$12,607,755
Total loss/gain on sale of assets2016-12-31$792
Total of all expenses incurred2016-12-31$5,952,441
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others2016-12-31$5,914,381
Value of total corrective distributions2016-12-31$7,786
Total contributions o plan (from employers,participants, others, non cash contrinutions)2016-12-31$6,639,991
Value of total assets at end of year2016-12-31$86,073,864
Value of total assets at beginning of year2016-12-31$79,418,550
Total of administrative expenses incurred including professional, contract, advisory and management fees2016-12-31$30,274
Total interest from all sources2016-12-31$32,418
Total dividends received (eg from common stock, registered investment company shares)2016-12-31$2,888,801
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year2016-12-31No
Total dividends received from registered investment company shares (eg mutual funds)2016-12-31$2,888,801
Was this plan covered by a fidelity bond2016-12-31Yes
Value of fidelity bond cover2016-12-31$3,000,000
If this is an individual account plan, was there a blackout period2016-12-31No
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities2016-12-31$0
Were there any nonexempt tranactions with any party-in-interest2016-12-31No
Contributions received from participants2016-12-31$5,543,480
Participant contributions at end of year2016-12-31$835,278
Participant contributions at beginning of year2016-12-31$814,016
Assets. Other investments not covered elsewhere at end of year2016-12-31$2,666,509
Assets. Other investments not covered elsewhere at beginning of year2016-12-31$2,154,801
Income. Received or receivable in cash from other sources (including rollovers)2016-12-31$745,662
Other income not declared elsewhere2016-12-31$69,490
Administrative expenses (other) incurred2016-12-31$26,827
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser2016-12-31No
Value of net income/loss2016-12-31$6,655,314
Value of net assets at end of year (total assets less liabilities)2016-12-31$86,073,864
Value of net assets at beginning of year (total assets less liabilities)2016-12-31$79,418,550
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)2016-12-31No
Were any loans by the plan or fixed income obligations due to the plan in default2016-12-31No
Were any leases to which the plan was party in default or uncollectible2016-12-31No
Assets. partnership/joint venture interests at end of year2016-12-31$3,714
Assets. partnership/joint venture interests at beginning of year2016-12-31$0
Investment advisory and management fees2016-12-31$3,447
Value of interest in registered invesment companies (eg mutual funds) at end of year2016-12-31$72,583,173
Value of interest in registered invesment companies (eg mutual funds) at beginning of year2016-12-31$67,872,604
Interest on participant loans2016-12-31$32,418
Value of interest in common/collective trusts at end of year2016-12-31$9,979,000
Value of interest in common/collective trusts at beginning of year2016-12-31$8,567,862
Net investment gain/loss from registered investment companies (e.g. mutual funds)2016-12-31$2,834,996
Net investment gain or loss from common/collective trusts2016-12-31$140,095
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets2016-12-31No
Was there a failure to transmit to the plan any participant contributions2016-12-31No
Has the plan failed to provide any benefit when due under the plan2016-12-31No
Assets. Invements in employer securities at end of year2016-12-31$6,190
Assets. Invements in employer securities at beginning of year2016-12-31$9,267
Contributions received in cash from employer2016-12-31$350,849
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers2016-12-31$5,914,381
Did the plan have assets held for investment2016-12-31Yes
Did the plan hold any assets whose current value was neither redily determinable on an established market nor set by an independent third party appraiser2016-12-31No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC2016-12-31No
Aggregate proceeds on sale of assets2016-12-31$5,068
Aggregate carrying amount (costs) on sale of assets2016-12-31$4,276
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d)2016-12-31Yes
Opinion of an independent qualified public accountant for this plan2016-12-31Disclaimer
Accountancy firm name2016-12-31LINDQUIST LLP
Accountancy firm EIN2016-12-31522385296
2015 : HARMONIC INC. 401(K) PLAN 2015 401k financial data
Unrealized appreciation/depreciation of other (non real estate) assets2015-12-31$-6,768
Total unrealized appreciation/depreciation of assets2015-12-31$-6,768
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)2015-12-31$0
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)2015-12-31$0
Total income from all sources (including contributions)2015-12-31$6,847,529
Total loss/gain on sale of assets2015-12-31$671
Total of all expenses incurred2015-12-31$10,222,227
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others2015-12-31$10,196,008
Total contributions o plan (from employers,participants, others, non cash contrinutions)2015-12-31$6,728,595
Value of total assets at end of year2015-12-31$79,418,550
Value of total assets at beginning of year2015-12-31$82,793,248
Total of administrative expenses incurred including professional, contract, advisory and management fees2015-12-31$26,219
Total interest from all sources2015-12-31$26,207
Total dividends received (eg from common stock, registered investment company shares)2015-12-31$3,928,950
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year2015-12-31No
Total dividends received from registered investment company shares (eg mutual funds)2015-12-31$3,928,950
Was this plan covered by a fidelity bond2015-12-31Yes
Value of fidelity bond cover2015-12-31$3,000,000
If this is an individual account plan, was there a blackout period2015-12-31No
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities2015-12-31$0
Were there any nonexempt tranactions with any party-in-interest2015-12-31No
Contributions received from participants2015-12-31$5,764,014
Participant contributions at end of year2015-12-31$814,016
Participant contributions at beginning of year2015-12-31$654,217
Participant contributions at end of year2015-12-31$0
Participant contributions at beginning of year2015-12-31$89
Assets. Other investments not covered elsewhere at end of year2015-12-31$2,154,801
Assets. Other investments not covered elsewhere at beginning of year2015-12-31$2,406,180
Income. Received or receivable in cash from other sources (including rollovers)2015-12-31$592,317
Other income not declared elsewhere2015-12-31$-53,329
Administrative expenses (other) incurred2015-12-31$26,219
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser2015-12-31No
Value of net income/loss2015-12-31$-3,374,698
Value of net assets at end of year (total assets less liabilities)2015-12-31$79,418,550
Value of net assets at beginning of year (total assets less liabilities)2015-12-31$82,793,248
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)2015-12-31No
Were any loans by the plan or fixed income obligations due to the plan in default2015-12-31No
Were any leases to which the plan was party in default or uncollectible2015-12-31No
Assets. partnership/joint venture interests at end of year2015-12-31$0
Assets. partnership/joint venture interests at beginning of year2015-12-31$0
Value of interest in registered invesment companies (eg mutual funds) at end of year2015-12-31$67,872,604
Value of interest in registered invesment companies (eg mutual funds) at beginning of year2015-12-31$71,274,591
Interest on participant loans2015-12-31$26,207
Value of interest in common/collective trusts at end of year2015-12-31$8,567,862
Value of interest in common/collective trusts at beginning of year2015-12-31$8,423,598
Value of interest bearing cash (including money market accounts and certificates of deposits) at end of year2015-12-31$0
Interest-bearing cash (include money market accounts & certificates of deposit) at beginning of the Year2015-12-31$133
Value of interest bearing cash (including money market accounts and certificates of deposits) at beginning of year2015-12-31$133
Net investment gain/loss from registered investment companies (e.g. mutual funds)2015-12-31$-3,913,224
Net investment gain or loss from common/collective trusts2015-12-31$136,427
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets2015-12-31No
Was there a failure to transmit to the plan any participant contributions2015-12-31No
Has the plan failed to provide any benefit when due under the plan2015-12-31No
Assets. Invements in employer securities at end of year2015-12-31$9,267
Assets. Invements in employer securities at beginning of year2015-12-31$34,440
Contributions received in cash from employer2015-12-31$372,264
Employer contributions (assets) at end of year2015-12-31$0
Employer contributions (assets) at beginning of year2015-12-31$0
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers2015-12-31$10,196,008
Did the plan have assets held for investment2015-12-31Yes
Did the plan hold any assets whose current value was neither redily determinable on an established market nor set by an independent third party appraiser2015-12-31No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC2015-12-31No
Aggregate proceeds on sale of assets2015-12-31$19,185
Aggregate carrying amount (costs) on sale of assets2015-12-31$18,514
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d)2015-12-31Yes
Opinion of an independent qualified public accountant for this plan2015-12-31Disclaimer
Accountancy firm name2015-12-31LINDQUIST LLP
Accountancy firm EIN2015-12-31522385296
2014 : HARMONIC INC. 401(K) PLAN 2014 401k financial data
Unrealized appreciation/depreciation of other (non real estate) assets2014-12-31$-1,817
Total unrealized appreciation/depreciation of assets2014-12-31$-1,817
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)2014-12-31$0
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)2014-12-31$0
Total income from all sources (including contributions)2014-12-31$10,127,226
Total loss/gain on sale of assets2014-12-31$575
Total of all expenses incurred2014-12-31$8,666,687
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others2014-12-31$8,634,939
Total contributions o plan (from employers,participants, others, non cash contrinutions)2014-12-31$6,583,711
Value of total assets at end of year2014-12-31$82,793,248
Value of total assets at beginning of year2014-12-31$81,332,709
Total of administrative expenses incurred including professional, contract, advisory and management fees2014-12-31$31,748
Total interest from all sources2014-12-31$23,178
Total dividends received (eg from common stock, registered investment company shares)2014-12-31$4,140,382
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year2014-12-31No
Total dividends received from registered investment company shares (eg mutual funds)2014-12-31$4,140,382
Was this plan covered by a fidelity bond2014-12-31Yes
Value of fidelity bond cover2014-12-31$3,000,000
If this is an individual account plan, was there a blackout period2014-12-31No
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities2014-12-31$0
Were there any nonexempt tranactions with any party-in-interest2014-12-31No
Contributions received from participants2014-12-31$5,760,287
Participant contributions at end of year2014-12-31$654,217
Participant contributions at beginning of year2014-12-31$615,146
Participant contributions at end of year2014-12-31$89
Participant contributions at beginning of year2014-12-31$172
Assets. Other investments not covered elsewhere at end of year2014-12-31$2,406,180
Assets. Other investments not covered elsewhere at beginning of year2014-12-31$3,077,244
Income. Received or receivable in cash from other sources (including rollovers)2014-12-31$439,382
Other income not declared elsewhere2014-12-31$26,874
Administrative expenses (other) incurred2014-12-31$31,748
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser2014-12-31No
Value of net income/loss2014-12-31$1,460,539
Value of net assets at end of year (total assets less liabilities)2014-12-31$82,793,248
Value of net assets at beginning of year (total assets less liabilities)2014-12-31$81,332,709
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)2014-12-31No
Were any loans by the plan or fixed income obligations due to the plan in default2014-12-31No
Were any leases to which the plan was party in default or uncollectible2014-12-31No
Value of interest in registered invesment companies (eg mutual funds) at end of year2014-12-31$71,274,591
Value of interest in registered invesment companies (eg mutual funds) at beginning of year2014-12-31$68,354,895
Interest on participant loans2014-12-31$23,178
Value of interest in common/collective trusts at end of year2014-12-31$8,423,598
Value of interest in common/collective trusts at beginning of year2014-12-31$9,182,479
Value of interest bearing cash (including money market accounts and certificates of deposits) at end of year2014-12-31$133
Interest-bearing cash (include money market accounts & certificates of deposit) at beginning of the Year2014-12-31$172
Value of interest bearing cash (including money market accounts and certificates of deposits) at beginning of year2014-12-31$172
Net investment gain/loss from registered investment companies (e.g. mutual funds)2014-12-31$-784,233
Net investment gain or loss from common/collective trusts2014-12-31$138,556
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets2014-12-31No
Was there a failure to transmit to the plan any participant contributions2014-12-31No
Has the plan failed to provide any benefit when due under the plan2014-12-31No
Assets. Invements in employer securities at end of year2014-12-31$34,440
Assets. Invements in employer securities at beginning of year2014-12-31$102,555
Contributions received in cash from employer2014-12-31$384,042
Employer contributions (assets) at end of year2014-12-31$0
Employer contributions (assets) at beginning of year2014-12-31$46
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers2014-12-31$8,634,939
Did the plan have assets held for investment2014-12-31Yes
Did the plan hold any assets whose current value was neither redily determinable on an established market nor set by an independent third party appraiser2014-12-31No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC2014-12-31No
Aggregate proceeds on sale of assets2014-12-31$66,939
Aggregate carrying amount (costs) on sale of assets2014-12-31$66,364
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d)2014-12-31Yes
Opinion of an independent qualified public accountant for this plan2014-12-31Disclaimer
Accountancy firm name2014-12-31LINDQUIST LLP
Accountancy firm EIN2014-12-31522385296
2013 : HARMONIC INC. 401(K) PLAN 2013 401k financial data
Unrealized appreciation/depreciation of other (non real estate) assets2013-12-31$35,049
Total unrealized appreciation/depreciation of assets2013-12-31$35,049
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)2013-12-31$0
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)2013-12-31$0
Total income from all sources (including contributions)2013-12-31$22,591,720
Total loss/gain on sale of assets2013-12-31$92
Total of all expenses incurred2013-12-31$9,145,823
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others2013-12-31$9,092,548
Expenses. Certain deemed distributions of participant loans2013-12-31$0
Value of total corrective distributions2013-12-31$0
Total contributions o plan (from employers,participants, others, non cash contrinutions)2013-12-31$6,962,739
Value of total assets at end of year2013-12-31$81,332,709
Value of total assets at beginning of year2013-12-31$67,886,812
Total of administrative expenses incurred including professional, contract, advisory and management fees2013-12-31$53,275
Total interest from all sources2013-12-31$27,256
Total dividends received (eg from common stock, registered investment company shares)2013-12-31$3,137,360
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year2013-12-31No
Total dividends received from registered investment company shares (eg mutual funds)2013-12-31$3,137,360
Assets. Real estate other than employer real property at end of year2013-12-31$0
Assets. Real estate other than employer real property at beginning of year2013-12-31$0
Administrative expenses professional fees incurred2013-12-31$0
Assets. Corporate prefeered stocks other than exployer securities at end of year2013-12-31$0
Assets. Corporate prefeered stocks other than exployer securities at beginning of year2013-12-31$0
Was this plan covered by a fidelity bond2013-12-31Yes
Value of fidelity bond cover2013-12-31$3,000,000
If this is an individual account plan, was there a blackout period2013-12-31No
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities2013-12-31$0
Were there any nonexempt tranactions with any party-in-interest2013-12-31No
Contributions received from participants2013-12-31$6,314,835
Participant contributions at end of year2013-12-31$615,146
Participant contributions at beginning of year2013-12-31$883,554
Participant contributions at end of year2013-12-31$172
Participant contributions at beginning of year2013-12-31$0
Assets. Other investments not covered elsewhere at end of year2013-12-31$3,077,244
Assets. Other investments not covered elsewhere at beginning of year2013-12-31$2,627,153
Income. Received or receivable in cash from other sources (including rollovers)2013-12-31$230,385
Other income not declared elsewhere2013-12-31$534,747
Administrative expenses (other) incurred2013-12-31$53,275
Total non interest bearing cash at end of year2013-12-31$0
Total non interest bearing cash at beginning of year2013-12-31$0
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser2013-12-31No
Value of net income/loss2013-12-31$13,445,897
Value of net assets at end of year (total assets less liabilities)2013-12-31$81,332,709
Value of net assets at beginning of year (total assets less liabilities)2013-12-31$67,886,812
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)2013-12-31No
Were any loans by the plan or fixed income obligations due to the plan in default2013-12-31No
Were any leases to which the plan was party in default or uncollectible2013-12-31No
Assets. partnership/joint venture interests at end of year2013-12-31$0
Assets. partnership/joint venture interests at beginning of year2013-12-31$0
Investment advisory and management fees2013-12-31$0
Value of interest in registered invesment companies (eg mutual funds) at end of year2013-12-31$68,354,895
Value of interest in registered invesment companies (eg mutual funds) at beginning of year2013-12-31$55,438,666
Value of interest in pooled separate accounts at end of year2013-12-31$0
Value of interest in pooled separate accounts at beginning of year2013-12-31$0
Interest on participant loans2013-12-31$26,899
Income. Interest from US Government securities2013-12-31$0
Income. Interest from corporate debt instruments2013-12-31$0
Value of interest in master investment trust accounts at end of year2013-12-31$0
Value of interest in master investment trust accounts at beginning of year2013-12-31$0
Value of interest in common/collective trusts at end of year2013-12-31$9,182,479
Value of interest in common/collective trusts at beginning of year2013-12-31$8,869,843
Value of interest bearing cash (including money market accounts and certificates of deposits) at end of year2013-12-31$172
Interest-bearing cash (include money market accounts & certificates of deposit) at beginning of the Year2013-12-31$183
Value of interest bearing cash (including money market accounts and certificates of deposits) at beginning of year2013-12-31$183
Interest earned from interest bearing cash (including money market accounts and certificates of deposit)2013-12-31$357
Expenses. Payments to insurance carriers foe the provision of benefits2013-12-31$0
Asset value of US Government securities at end of year2013-12-31$0
Asset value of US Government securities at beginning of year2013-12-31$0
Net investment gain/loss from registered investment companies (e.g. mutual funds)2013-12-31$11,694,900
Net investment gain/loss from pooled separate accounts2013-12-31$0
Net investment gain or loss from common/collective trusts2013-12-31$199,577
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets2013-12-31No
Was there a failure to transmit to the plan any participant contributions2013-12-31No
Has the plan failed to provide any benefit when due under the plan2013-12-31No
Assets. Invements in employer securities at end of year2013-12-31$102,555
Assets. Invements in employer securities at beginning of year2013-12-31$67,413
Contributions received in cash from employer2013-12-31$417,519
Employer contributions (assets) at end of year2013-12-31$46
Employer contributions (assets) at beginning of year2013-12-31$0
Income. Dividends from preferred stock2013-12-31$0
Income. Dividends from common stock2013-12-31$0
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers2013-12-31$9,092,548
Assets. Corporate common stocks other than exployer securities at end of year2013-12-31$0
Assets. Corporate common stocks other than exployer securities at beginning of year2013-12-31$0
Did the plan have assets held for investment2013-12-31Yes
Did the plan hold any assets whose current value was neither redily determinable on an established market nor set by an independent third party appraiser2013-12-31No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC2013-12-31No
Aggregate proceeds on sale of assets2013-12-31$298
Aggregate carrying amount (costs) on sale of assets2013-12-31$206
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d)2013-12-31Yes
Opinion of an independent qualified public accountant for this plan2013-12-31Disclaimer
Accountancy firm name2013-12-31LINDQUIST LLP
Accountancy firm EIN2013-12-31522385296
2012 : HARMONIC INC. 401(K) PLAN 2012 401k financial data
Unrealized appreciation/depreciation of other (non real estate) assets2012-12-31$6,810
Total unrealized appreciation/depreciation of assets2012-12-31$6,810
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)2012-12-31$0
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)2012-12-31$0
Total income from all sources (including contributions)2012-12-31$14,376,189
Total loss/gain on sale of assets2012-12-31$82
Total of all expenses incurred2012-12-31$5,065,970
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others2012-12-31$5,033,816
Value of total corrective distributions2012-12-31$2,874
Total contributions o plan (from employers,participants, others, non cash contrinutions)2012-12-31$7,035,136
Value of total assets at end of year2012-12-31$67,886,812
Value of total assets at beginning of year2012-12-31$58,576,593
Total of administrative expenses incurred including professional, contract, advisory and management fees2012-12-31$29,280
Total interest from all sources2012-12-31$33,410
Total dividends received (eg from common stock, registered investment company shares)2012-12-31$1,702,717
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year2012-12-31No
Total dividends received from registered investment company shares (eg mutual funds)2012-12-31$1,702,717
Was this plan covered by a fidelity bond2012-12-31Yes
Value of fidelity bond cover2012-12-31$3,000,000
If this is an individual account plan, was there a blackout period2012-12-31No
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities2012-12-31$0
Were there any nonexempt tranactions with any party-in-interest2012-12-31No
Contributions received from participants2012-12-31$6,121,002
Participant contributions at end of year2012-12-31$883,554
Participant contributions at beginning of year2012-12-31$732,368
Participant contributions at beginning of year2012-12-31$142,063
Assets. Other investments not covered elsewhere at end of year2012-12-31$2,627,153
Assets. Other investments not covered elsewhere at beginning of year2012-12-31$2,335,933
Income. Received or receivable in cash from other sources (including rollovers)2012-12-31$914,134
Value of other receiveables (less allowance for doubtful accounts) at beginning of year2012-12-31$17,062
Other income not declared elsewhere2012-12-31$205,296
Administrative expenses (other) incurred2012-12-31$29,280
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser2012-12-31No
Value of net income/loss2012-12-31$9,310,219
Value of net assets at end of year (total assets less liabilities)2012-12-31$67,886,812
Value of net assets at beginning of year (total assets less liabilities)2012-12-31$58,576,593
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)2012-12-31No
Were any loans by the plan or fixed income obligations due to the plan in default2012-12-31No
Were any leases to which the plan was party in default or uncollectible2012-12-31No
Assets. partnership/joint venture interests at beginning of year2012-12-31$0
Value of interest in registered invesment companies (eg mutual funds) at end of year2012-12-31$55,438,666
Value of interest in registered invesment companies (eg mutual funds) at beginning of year2012-12-31$46,591,867
Interest on participant loans2012-12-31$33,410
Value of interest in common/collective trusts at end of year2012-12-31$8,869,843
Value of interest in common/collective trusts at beginning of year2012-12-31$8,695,516
Value of interest bearing cash (including money market accounts and certificates of deposits) at end of year2012-12-31$183
Interest-bearing cash (include money market accounts & certificates of deposit) at beginning of the Year2012-12-31$40
Value of interest bearing cash (including money market accounts and certificates of deposits) at beginning of year2012-12-31$40
Net investment gain/loss from registered investment companies (e.g. mutual funds)2012-12-31$5,244,503
Net investment gain or loss from common/collective trusts2012-12-31$148,235
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets2012-12-31No
Was there a failure to transmit to the plan any participant contributions2012-12-31No
Has the plan failed to provide any benefit when due under the plan2012-12-31No
Assets. Invements in employer securities at end of year2012-12-31$67,413
Assets. Invements in employer securities at beginning of year2012-12-31$25,538
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers2012-12-31$5,033,816
Was the provided the required notice or one of the exceptions to providing the black out period notice applied under 29 CFR 2520.101-32012-12-31No
Assets. Corporate common stocks other than exployer securities at beginning of year2012-12-31$36,206
Did the plan have assets held for investment2012-12-31Yes
Did the plan hold any assets whose current value was neither redily determinable on an established market nor set by an independent third party appraiser2012-12-31No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC2012-12-31No
Aggregate proceeds on sale of assets2012-12-31$1,317
Aggregate carrying amount (costs) on sale of assets2012-12-31$1,235
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d)2012-12-31Yes
Opinion of an independent qualified public accountant for this plan2012-12-31Disclaimer
Accountancy firm name2012-12-31LINDQUIST LLP
Accountancy firm EIN2012-12-31522385296
2011 : HARMONIC INC. 401(K) PLAN 2011 401k financial data
Unrealized appreciation/depreciation of other (non real estate) assets2011-12-31$-18,141
Total unrealized appreciation/depreciation of assets2011-12-31$-18,141
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)2011-12-31$0
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)2011-12-31$0
Total income from all sources (including contributions)2011-12-31$5,506,091
Total loss/gain on sale of assets2011-12-31$1,625
Total of all expenses incurred2011-12-31$3,723,398
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others2011-12-31$3,701,833
Expenses. Certain deemed distributions of participant loans2011-12-31$0
Value of total corrective distributions2011-12-31$446
Total contributions o plan (from employers,participants, others, non cash contrinutions)2011-12-31$6,333,267
Value of total assets at end of year2011-12-31$58,576,593
Value of total assets at beginning of year2011-12-31$56,793,900
Total of administrative expenses incurred including professional, contract, advisory and management fees2011-12-31$21,119
Total interest from all sources2011-12-31$30,507
Total dividends received (eg from common stock, registered investment company shares)2011-12-31$1,275,478
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year2011-12-31No
Total dividends received from registered investment company shares (eg mutual funds)2011-12-31$1,275,478
Administrative expenses professional fees incurred2011-12-31$0
Was this plan covered by a fidelity bond2011-12-31Yes
Value of fidelity bond cover2011-12-31$3,000,000
If this is an individual account plan, was there a blackout period2011-12-31No
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities2011-12-31$0
Were there any nonexempt tranactions with any party-in-interest2011-12-31No
Contributions received from participants2011-12-31$5,988,369
Participant contributions at end of year2011-12-31$732,368
Participant contributions at beginning of year2011-12-31$709,281
Participant contributions at end of year2011-12-31$142,063
Participant contributions at beginning of year2011-12-31$140,032
Assets. Other investments not covered elsewhere at end of year2011-12-31$2,335,933
Assets. Other investments not covered elsewhere at beginning of year2011-12-31$2,102,350
Income. Received or receivable in cash from other sources (including rollovers)2011-12-31$344,898
Value of other receiveables (less allowance for doubtful accounts) at end of year2011-12-31$17,062
Value of other receiveables (less allowance for doubtful accounts) at beginning of year2011-12-31$16,588
Other income not declared elsewhere2011-12-31$-237,069
Administrative expenses (other) incurred2011-12-31$21,119
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser2011-12-31No
Value of net income/loss2011-12-31$1,782,693
Value of net assets at end of year (total assets less liabilities)2011-12-31$58,576,593
Value of net assets at beginning of year (total assets less liabilities)2011-12-31$56,793,900
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)2011-12-31No
Were any loans by the plan or fixed income obligations due to the plan in default2011-12-31No
Were any leases to which the plan was party in default or uncollectible2011-12-31No
Assets. partnership/joint venture interests at end of year2011-12-31$0
Investment advisory and management fees2011-12-31$0
Value of interest in registered invesment companies (eg mutual funds) at end of year2011-12-31$46,591,867
Value of interest in registered invesment companies (eg mutual funds) at beginning of year2011-12-31$45,425,707
Interest on participant loans2011-12-31$30,507
Value of interest in common/collective trusts at end of year2011-12-31$8,695,516
Value of interest in common/collective trusts at beginning of year2011-12-31$8,306,345
Value of interest bearing cash (including money market accounts and certificates of deposits) at end of year2011-12-31$40
Interest-bearing cash (include money market accounts & certificates of deposit) at beginning of the Year2011-12-31$81
Value of interest bearing cash (including money market accounts and certificates of deposits) at beginning of year2011-12-31$81
Net investment gain/loss from registered investment companies (e.g. mutual funds)2011-12-31$-2,088,554
Net investment gain or loss from common/collective trusts2011-12-31$208,978
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets2011-12-31No
Was there a failure to transmit to the plan any participant contributions2011-12-31No
Has the plan failed to provide any benefit when due under the plan2011-12-31No
Assets. Invements in employer securities at end of year2011-12-31$25,538
Assets. Invements in employer securities at beginning of year2011-12-31$50,083
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers2011-12-31$3,701,833
Assets. Corporate common stocks other than exployer securities at end of year2011-12-31$36,206
Assets. Corporate common stocks other than exployer securities at beginning of year2011-12-31$43,433
Did the plan have assets held for investment2011-12-31Yes
Did the plan hold any assets whose current value was neither redily determinable on an established market nor set by an independent third party appraiser2011-12-31No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC2011-12-31No
Aggregate proceeds on sale of assets2011-12-31$15,334
Aggregate carrying amount (costs) on sale of assets2011-12-31$13,709
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d)2011-12-31Yes
Opinion of an independent qualified public accountant for this plan2011-12-31Disclaimer
Accountancy firm name2011-12-31LINDQUIST LLP
Accountancy firm EIN2011-12-31522385296
2010 : HARMONIC INC. 401(K) PLAN 2010 401k financial data
Unrealized appreciation/depreciation of other (non real estate) assets2010-12-31$13,012
Total unrealized appreciation/depreciation of assets2010-12-31$13,012
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)2010-12-31$0
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)2010-12-31$0
Total income from all sources (including contributions)2010-12-31$13,798,460
Total loss/gain on sale of assets2010-12-31$-174
Total of all expenses incurred2010-12-31$2,968,981
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others2010-12-31$2,929,492
Total contributions o plan (from employers,participants, others, non cash contrinutions)2010-12-31$7,669,824
Value of total assets at end of year2010-12-31$56,793,900
Value of total assets at beginning of year2010-12-31$45,964,421
Total of administrative expenses incurred including professional, contract, advisory and management fees2010-12-31$39,489
Total interest from all sources2010-12-31$32,068
Total dividends received (eg from common stock, registered investment company shares)2010-12-31$704,792
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year2010-12-31No
Total dividends received from registered investment company shares (eg mutual funds)2010-12-31$704,792
Was this plan covered by a fidelity bond2010-12-31Yes
Value of fidelity bond cover2010-12-31$3,000,000
If this is an individual account plan, was there a blackout period2010-12-31No
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities2010-12-31$0
Were there any nonexempt tranactions with any party-in-interest2010-12-31No
Contributions received from participants2010-12-31$4,590,197
Participant contributions at end of year2010-12-31$709,281
Participant contributions at beginning of year2010-12-31$535,776
Participant contributions at end of year2010-12-31$140,032
Participant contributions at beginning of year2010-12-31$69,179
Assets. Other investments not covered elsewhere at end of year2010-12-31$2,102,350
Assets. Other investments not covered elsewhere at beginning of year2010-12-31$2,209,571
Income. Received or receivable in cash from other sources (including rollovers)2010-12-31$3,079,627
Value of other receiveables (less allowance for doubtful accounts) at end of year2010-12-31$16,588
Value of other receiveables (less allowance for doubtful accounts) at beginning of year2010-12-31$13,069
Other income not declared elsewhere2010-12-31$122,359
Administrative expenses (other) incurred2010-12-31$39,489
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser2010-12-31No
Value of net income/loss2010-12-31$10,829,479
Value of net assets at end of year (total assets less liabilities)2010-12-31$56,793,900
Value of net assets at beginning of year (total assets less liabilities)2010-12-31$45,964,421
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)2010-12-31No
Were any loans by the plan or fixed income obligations due to the plan in default2010-12-31No
Were any leases to which the plan was party in default or uncollectible2010-12-31No
Assets. partnership/joint venture interests at beginning of year2010-12-31$5,591
Value of interest in registered invesment companies (eg mutual funds) at end of year2010-12-31$45,425,707
Value of interest in registered invesment companies (eg mutual funds) at beginning of year2010-12-31$36,336,736
Interest on participant loans2010-12-31$32,068
Value of interest in common/collective trusts at end of year2010-12-31$8,306,345
Value of interest in common/collective trusts at beginning of year2010-12-31$6,712,603
Value of interest bearing cash (including money market accounts and certificates of deposits) at end of year2010-12-31$81
Interest-bearing cash (include money market accounts & certificates of deposit) at beginning of the Year2010-12-31$119
Value of interest bearing cash (including money market accounts and certificates of deposits) at beginning of year2010-12-31$119
Net investment gain/loss from registered investment companies (e.g. mutual funds)2010-12-31$4,929,346
Net investment gain or loss from common/collective trusts2010-12-31$327,233
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets2010-12-31No
Was there a failure to transmit to the plan any participant contributions2010-12-31No
Has the plan failed to provide any benefit when due under the plan2010-12-31No
Assets. Invements in employer securities at end of year2010-12-31$50,083
Assets. Invements in employer securities at beginning of year2010-12-31$37,465
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers2010-12-31$2,929,492
Was the provided the required notice or one of the exceptions to providing the black out period notice applied under 29 CFR 2520.101-32010-12-31No
Assets. Corporate common stocks other than exployer securities at end of year2010-12-31$43,433
Assets. Corporate common stocks other than exployer securities at beginning of year2010-12-31$44,312
Did the plan have assets held for investment2010-12-31Yes
Did the plan hold any assets whose current value was neither redily determinable on an established market nor set by an independent third party appraiser2010-12-31No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC2010-12-31No
Aggregate proceeds on sale of assets2010-12-31$1,167
Aggregate carrying amount (costs) on sale of assets2010-12-31$1,341
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d)2010-12-31Yes
Opinion of an independent qualified public accountant for this plan2010-12-31Disclaimer
Accountancy firm name2010-12-31LINDQUIST LLP
Accountancy firm EIN2010-12-31522385296
2009 : HARMONIC INC. 401(K) PLAN 2009 401k financial data
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities2009-12-31$0

Form 5500 Responses for HARMONIC INC. 401(K) PLAN

2022: HARMONIC INC. 401(K) PLAN 2022 form 5500 responses
2022-01-01Type of plan entitySingle employer plan
2022-01-01Submission has been amendedNo
2022-01-01This submission is the final filingNo
2022-01-01This return/report is a short plan year return/report (less than 12 months)No
2022-01-01Plan is a collectively bargained planNo
2022-01-01Plan funding arrangement – TrustYes
2022-01-01Plan benefit arrangement - TrustYes
2021: HARMONIC INC. 401(K) PLAN 2021 form 5500 responses
2021-01-01Type of plan entitySingle employer plan
2021-01-01Submission has been amendedNo
2021-01-01This submission is the final filingNo
2021-01-01This return/report is a short plan year return/report (less than 12 months)No
2021-01-01Plan is a collectively bargained planNo
2021-01-01Plan funding arrangement – TrustYes
2021-01-01Plan benefit arrangement - TrustYes
2020: HARMONIC INC. 401(K) PLAN 2020 form 5500 responses
2020-01-01Type of plan entitySingle employer plan
2020-01-01Submission has been amendedNo
2020-01-01This submission is the final filingNo
2020-01-01This return/report is a short plan year return/report (less than 12 months)No
2020-01-01Plan is a collectively bargained planNo
2020-01-01Plan funding arrangement – TrustYes
2020-01-01Plan benefit arrangement - TrustYes
2019: HARMONIC INC. 401(K) PLAN 2019 form 5500 responses
2019-01-01Type of plan entitySingle employer plan
2019-01-01Submission has been amendedNo
2019-01-01This submission is the final filingNo
2019-01-01This return/report is a short plan year return/report (less than 12 months)No
2019-01-01Plan is a collectively bargained planNo
2019-01-01Plan funding arrangement – TrustYes
2019-01-01Plan benefit arrangement - TrustYes
2018: HARMONIC INC. 401(K) PLAN 2018 form 5500 responses
2018-01-01Type of plan entitySingle employer plan
2018-01-01Submission has been amendedNo
2018-01-01This submission is the final filingNo
2018-01-01This return/report is a short plan year return/report (less than 12 months)No
2018-01-01Plan is a collectively bargained planNo
2018-01-01Plan funding arrangement – TrustYes
2018-01-01Plan benefit arrangement - TrustYes
2017: HARMONIC INC. 401(K) PLAN 2017 form 5500 responses
2017-01-01Type of plan entitySingle employer plan
2017-01-01Submission has been amendedNo
2017-01-01This submission is the final filingNo
2017-01-01This return/report is a short plan year return/report (less than 12 months)No
2017-01-01Plan is a collectively bargained planNo
2017-01-01Plan funding arrangement – TrustYes
2017-01-01Plan benefit arrangement - TrustYes
2016: HARMONIC INC. 401(K) PLAN 2016 form 5500 responses
2016-01-01Type of plan entitySingle employer plan
2016-01-01Submission has been amendedNo
2016-01-01This submission is the final filingNo
2016-01-01This return/report is a short plan year return/report (less than 12 months)No
2016-01-01Plan is a collectively bargained planNo
2016-01-01Plan funding arrangement – TrustYes
2016-01-01Plan benefit arrangement - TrustYes
2015: HARMONIC INC. 401(K) PLAN 2015 form 5500 responses
2015-01-01Type of plan entitySingle employer plan
2015-01-01Submission has been amendedNo
2015-01-01This submission is the final filingNo
2015-01-01This return/report is a short plan year return/report (less than 12 months)No
2015-01-01Plan is a collectively bargained planNo
2015-01-01Plan funding arrangement – TrustYes
2015-01-01Plan benefit arrangement - TrustYes
2014: HARMONIC INC. 401(K) PLAN 2014 form 5500 responses
2014-01-01Type of plan entitySingle employer plan
2014-01-01Submission has been amendedNo
2014-01-01This submission is the final filingNo
2014-01-01This return/report is a short plan year return/report (less than 12 months)No
2014-01-01Plan is a collectively bargained planNo
2014-01-01Plan funding arrangement – TrustYes
2014-01-01Plan benefit arrangement - TrustYes
2013: HARMONIC INC. 401(K) PLAN 2013 form 5500 responses
2013-01-01Type of plan entitySingle employer plan
2013-01-01Submission has been amendedNo
2013-01-01This submission is the final filingNo
2013-01-01This return/report is a short plan year return/report (less than 12 months)No
2013-01-01Plan is a collectively bargained planNo
2013-01-01Plan funding arrangement – TrustYes
2013-01-01Plan benefit arrangement - TrustYes
2012: HARMONIC INC. 401(K) PLAN 2012 form 5500 responses
2012-01-01Type of plan entitySingle employer plan
2012-01-01Submission has been amendedNo
2012-01-01This submission is the final filingNo
2012-01-01This return/report is a short plan year return/report (less than 12 months)No
2012-01-01Plan is a collectively bargained planNo
2012-01-01Plan funding arrangement – TrustYes
2012-01-01Plan benefit arrangement - TrustYes
2011: HARMONIC INC. 401(K) PLAN 2011 form 5500 responses
2011-01-01Type of plan entitySingle employer plan
2011-01-01Submission has been amendedNo
2011-01-01This submission is the final filingNo
2011-01-01This return/report is a short plan year return/report (less than 12 months)No
2011-01-01Plan is a collectively bargained planNo
2011-01-01Plan funding arrangement – TrustYes
2011-01-01Plan benefit arrangement - TrustYes
2009: HARMONIC INC. 401(K) PLAN 2009 form 5500 responses
2009-01-01Type of plan entitySingle employer plan
2009-01-01Submission has been amendedNo
2009-01-01This submission is the final filingNo
2009-01-01This return/report is a short plan year return/report (less than 12 months)No
2009-01-01Plan is a collectively bargained planNo
2009-01-01Plan funding arrangement – TrustYes
2009-01-01Plan benefit arrangement - TrustYes

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