Statement of Changes in Beneficial Ownership (4)
April 03 2020 - 04:57PM
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).
UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OF SECURITIES
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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
*
Sun Elaine D |
2. Issuer Name and Ticker or Trading Symbol
HALOZYME THERAPEUTICS, INC.
[
HALO
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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) SVP, Chief Financial Officer |
(Last)
(First)
(Middle)
C/O HALOZYME THERAPEUTICS, INC., 11388 SORRENTO VALLEY ROAD |
3. Date of Earliest Transaction
(MM/DD/YYYY)
4/1/2020 |
(Street)
SAN DIEGO, CA 92121
(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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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) | 2. Conversion or Exercise Price of Derivative Security | 3. Trans. Date | 3A. Deemed Execution Date, if any | 4. Trans. Code (Instr. 8) | 5. Number of Derivative Securities Acquired (A) or Disposed of (D) (Instr. 3, 4 and 5) | 6. Date Exercisable and Expiration Date | 7. Title and Amount of Securities Underlying Derivative Security (Instr. 3 and 4) | 8. Price of Derivative Security (Instr. 5) | 9. Number of derivative Securities Beneficially Owned Following Reported Transaction(s) (Instr. 4) | 10. Ownership Form of Derivative Security: Direct (D) or Indirect (I) (Instr. 4) | 11. Nature of Indirect Beneficial Ownership (Instr. 4) |
Code | V | (A) | (D) | Date Exercisable | Expiration Date | Title | Amount or Number of Shares |
Performance Stock Units | $0 | 4/1/2020 | | A | | 40796 | | 4/1/2021 (1) | (1) | Common Stock | 40796 | $0 | 40796 | D | |
Explanation of Responses: |
(1) | The vesting of these Performance Stock Units (PSUs) is subject to the satisfaction of both performance-based and time-based vesting conditions. The performance-based condition will be satisfied as to 25% of the total PSU grant upon achievement of each of four separate milestones of 20%, 30%, 40% and 50% increases of the closing price of the Issuer's common stock on the date of grant. The PSUs may be earned at any point during the three-year performance period (commencing on the date of grant) and any PSUs that are not earned during the three-year performance period will be forfeited. The time-based condition will be satisfied as to 25% of the total PSU grant upon each of the first four anniversaries of the date of grant contingent upon the Reporting Person's continued service to the Issuer through each such anniversary date. |
Reporting Owners
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Reporting Owner Name / Address | Relationships |
Director | 10% Owner | Officer | Other |
Sun Elaine D C/O HALOZYME THERAPEUTICS, INC. 11388 SORRENTO VALLEY ROAD SAN DIEGO, CA 92121 |
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| SVP, Chief Financial Officer |
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Signatures
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/s/ James R. Oehler as attorney-in-fact for Elaine D. Sun | | 4/3/2020 |
**Signature of Reporting Person | Date |
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