Statement of Changes in Beneficial Ownership (4)
December 06 2017 - 2:50PM
Edgar (US Regulatory)
FORM 4
[ ]
Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue.
See
Instruction 1(b).
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UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OF SECURITIES
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OMB APPROVAL
OMB Number:
3235-0287
Estimated average burden
hours per response...
0.5
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Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934 or Section 30(h) of the Investment Company Act of 1940
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1. Name and Address of Reporting Person
*
Brown James S
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2. Issuer Name
and
Ticker or Trading Symbol
HALLIBURTON CO
[
HAL
]
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5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
_____ Director
_____ 10% Owner
__
X
__ Officer (give title below)
_____ Other (specify below)
President - Western Hemisphere
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(Last)
(First)
(Middle)
1125 17TH STREET, SUITE 1900
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3. Date of Earliest Transaction
(MM/DD/YYYY)
12/4/2017
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(Street)
DENVER, CO 80202
(City)
(State)
(Zip)
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4. If Amendment, Date Original Filed
(MM/DD/YYYY)
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6. Individual or Joint/Group Filing
(Check Applicable Line)
_
X
_ Form filed by One Reporting Person
___ Form filed by More than One Reporting Person
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Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
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1.Title of Security
(Instr. 3)
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2. Trans. Date
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2A. Deemed Execution Date, if any
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3. Trans. Code
(Instr. 8)
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4. Securities Acquired (A) or Disposed of (D)
(Instr. 3, 4 and 5)
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5. Amount of Securities Beneficially Owned Following Reported Transaction(s)
(Instr. 3 and 4)
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6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4)
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7. Nature of Indirect Beneficial Ownership (Instr. 4)
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Code
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V
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Amount
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(A) or (D)
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Price
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Common Stock
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12/4/2017
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S
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29485
(1)
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D
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$44.012
(2)
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129645.794
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D
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Table II - Derivative Securities Beneficially Owned (
e.g.
, puts, calls, warrants, options, convertible securities)
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1. Title of Derivate Security
(Instr. 3)
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2. Conversion or Exercise Price of Derivative Security
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3. Trans. Date
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3A. Deemed Execution Date, if any
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4. Trans. Code
(Instr. 8)
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5. Number of Derivative Securities Acquired (A) or Disposed of (D)
(Instr. 3, 4 and 5)
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6. Date Exercisable and Expiration Date
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7. Title and Amount of Securities Underlying Derivative Security
(Instr. 3 and 4)
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8. Price of Derivative Security
(Instr. 5)
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9. Number of derivative Securities Beneficially Owned Following Reported Transaction(s) (Instr. 4)
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10. Ownership Form of Derivative Security: Direct (D) or Indirect (I) (Instr. 4)
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11. Nature of Indirect Beneficial Ownership (Instr. 4)
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Code
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V
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(A)
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(D)
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Date Exercisable
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Expiration Date
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Title
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Amount or Number of Shares
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06/2017 Restricted Stock Units
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$0
(3)
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(4)
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(4)
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Common Stock
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108743
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108743
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D
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Option to Buy Common Stock
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$53.54
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12/7/2016
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12/7/2026
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Common Stock
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40100
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40100
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D
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Option to Buy Common Stock
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$38.95
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12/2/2015
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12/2/2025
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Common Stock
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58700
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58700
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D
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Option to Buy Common Stock
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$40.75
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12/3/2014
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12/3/2024
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Common Stock
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59500
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59500
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D
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Option to Buy Common Stock
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$50.62
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12/4/2013
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12/4/2023
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Common Stock
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45500
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45500
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D
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Option to Buy Common Stock
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$33.50
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12/5/2012
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12/5/2022
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Common Stock
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56900
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56900
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D
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Option to Buy Common Stock
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$35.57
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12/6/2011
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12/6/2021
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Common Stock
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43700
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43700
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D
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Option to Buy Common Stock
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$39.19
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12/1/2010
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12/1/2020
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Common Stock
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26100
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26100
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D
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Explanation of Responses:
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(1)
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The sales were effected pursuant to a Rule 10b5-1 trading plan adopted by the Reporting Person on November 3, 2017.
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(2)
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The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $43.98 to $44.046, inclusive. The Reporting Person undertakes to provide to Halliburton Company, any security holder of Halliburton Company, or the staff of the Securities and Exchange Commission, full information regarding the number of shares sold at each separate price within the range set forth above.
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(3)
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Each Restricted Stock Unit represents the right to receive one share of common stock.
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(4)
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One-half of the Restricted Stock Units vest and distribute as common stock effective December 31, 2019. The other one-half will be valued on December 31, 2019 and distribute as cash in three equal annual installments beginning December 31, 2020.
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Reporting Owners
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Reporting Owner Name / Address
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Relationships
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Director
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10% Owner
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Officer
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Other
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Brown James S
1125 17TH STREET
SUITE 1900
DENVER, CO 80202
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President - Western Hemisphere
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Signatures
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Bruce Metzinger, by Power of Attorney
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12/6/2017
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**
Signature of Reporting Person
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Date
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Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly.
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*
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If the form is filed by more than one reporting person,
see
Instruction 4(b)(v).
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**
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Intentional misstatements or omissions of facts constitute Federal Criminal Violations.
See
18 U.S.C. 1001 and 15 U.S.C. 78ff(a).
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Note:
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File three copies of this Form, one of which must be manually signed. If space is insufficient,
see
Instruction 6 for procedure.
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Persons who respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB control number.
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