Statement of Changes in Beneficial Ownership (4)

Date : 11/04/2019 @ 9:33PM
Source : Edgar (US Regulatory)
Stock : Halliburton Co (HAL)
Quote : 23.1  -0.48 (-2.04%) @ 12:59AM
After Hours
Last Trade
Last $ 22.90 ▼ -0.20 (-0.87%)

Statement of Changes in Beneficial Ownership (4)

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
                                                                                  
OMB APPROVAL
OMB Number: 3235-0287
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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
                      

1. Name and Address of Reporting Person *

Richard Mark
2. Issuer Name and Ticker or Trading Symbol

HALLIBURTON CO [ HAL ]
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
(Last)          (First)          (Middle)

3000 N. SAM HOUSTON PKWY E.
3. Date of Earliest Transaction (MM/DD/YYYY)

10/31/2019
(Street)

HOUSTON, TX 77032
(City)        (State)        (Zip)
4. If Amendment, Date Original Filed (MM/DD/YYYY)

 
6. Individual or Joint/Group Filing (Check Applicable Line)

_X _ Form filed by One Reporting Person
___ Form filed by More than One Reporting Person

Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
1.Title of Security
(Instr. 3)
2. Trans. Date 2A. Deemed Execution Date, if any 3. Trans. Code
(Instr. 8)
4. Securities Acquired (A) or Disposed of (D)
(Instr. 3, 4 and 5)
5. Amount of Securities Beneficially Owned Following Reported Transaction(s)
(Instr. 3 and 4)
6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4) 7. Nature of Indirect Beneficial Ownership (Instr. 4)
Code V Amount (A) or (D) Price
Common Stock  10/31/2019    M    2134 (1) A $20.48  109442.624 (3)(4) D 
 
Common Stock  10/31/2019    F    840 (2) D $20.48  108582.624  D 
 

Table II - Derivative Securities Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities)
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
Restricted Stock Units (10/2015)   (5) 10/31/2019    M        2134    (6)  (6) Common Stock  4268  $0  2134  D 
 
Option to Buy Common Stock  $31.65                  1/5/2010  1/5/2020  Common Stock  7000    7000  D 
 
Option to Buy Common Stock  $40.83                  1/1/2011  1/1/2021  Common Stock  4600    4600  D 
 
Option to Buy Common Stock  $34.15                  1/3/2012  1/3/2022  Common Stock  6400    6400  D 
 
Option to Buy Common Stock  $36.31                  1/3/2013  1/3/2023  Common Stock  13900    13900  D 
 
Option to Buy Common Stock  $50.01                  1/2/2014  1/2/2024  Common Stock  7900    7900  D 
 
Option to Buy Common Stock  $39.49                  1/2/2015  1/2/2025  Common Stock  14807    14807  D 
 
Option to Buy Common Stock  $34.48                  1/4/2016  1/4/2026  Common Stock  28604    28604  D 
 
Option to Buy Common Stock  $55.68                  1/3/2017  1/3/2027  Common Stock  17119    17119  D 
 
Option to Buy Common Stock (01/2018)  $49.61                  1/2/2018  1/2/2028  Commom Stock  24019    24019  D 
 
Option to Buy Common Stock (12/2018)  $27.14                  12/20/2018  12/20/2028  Common Stock  43924    439.24  D 
 
Restricted Stock Units (01/2015)   (5)                  (6)  (6) Common Stock  2091    2091  D 
 

Explanation of Responses:
(1)  Vesting of 20% of restricted stock units granted on October 27, 2015.
(2)  Shares transferred to Halliburton Company for payment for Federal tax withholding obligations on lapse of restrictions on shares issued under the Stock and Incentive Plan. Said Plan permits Reporting Person to satisfy withholding tax obligation by transferring unrestricted shares to the Issuer.
(3)  Includes 899.678 shares of stock purchased through the Halliburton Company Employee Stock Purchase Plan for the periods ended March 31, 2019, June 30, 2019 and September 30, 2019.
(4)  Includes 1,292.409 shares of stock accumulated through dividend reinvestment as of October 31 2020.
(5)  Each Restricted Stock Unit represents the right to receive one share of common stock.
(6)  The restricted stock units vest in five equal annual installments beginning with the first anniversary of the award. Shares will be delivered to the reporting person upon vesting.

Reporting Owners
Reporting Owner Name / Address
Relationships
Director 10% Owner Officer Other
Richard Mark
3000 N. SAM HOUSTON PKWY E.
HOUSTON, TX 77032


President - Western Hemisphere

Signatures
Brian A. Salazar, by Power of Attorney 11/4/2019
**Signature of Reporting Person Date


Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly.
* If the form is filed by more than one reporting person, see Instruction 4(b)(v).
** Intentional misstatements or omissions of facts constitute Federal Criminal Violations. See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a).
Note: File three copies of this Form, one of which must be manually signed. If space is insufficient, see Instruction 6 for procedure.
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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