Statement of Changes in Beneficial Ownership (4)
December 06 2019 - 5:18PM
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
*
Richard Mark |
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 |
(Last)
(First)
(Middle)
3000 N. SAM HOUSTON PKWY E. |
3. Date of Earliest Transaction
(MM/DD/YYYY)
12/4/2019 |
(Street)
HOUSTON, TX 77032
(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 | 12/4/2019 | | A | | 52600 (1) | A | $21.47 (2) | 161182.624 | D | |
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 |
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) | (3) | | | | | | | (4) | (4) | Common Stock | 2091 | | 2091 | D | |
Restricted Stock Units (10/2015) | (3) | | | | | | | (4) | (4) | Common Stock | 4268 | | 2134 | D | |
Explanation of Responses: |
(1) | Shares awarded pursuant to the Halliburton Company Stock and Incentive Plan. Said Plan provides for the surrender of common stock to the Issuer to satisfy withholding tax obligations. |
(2) | The closing price of Halliburton Company's Common Stock on the New York Stock Exchange on the December 4, 2019 grant date was $21.47. |
(3) | Each Restricted Stock Unit represents the right to receive one share of common stock. |
(4) | 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
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Reporting Owner Name / Address | Relationships |
Director | 10% Owner | Officer | Other |
Richard Mark 3000 N. SAM HOUSTON PKWY E. HOUSTON, TX 77032 |
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| President - Western Hemisphere |
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Signatures
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Bruce Metzinger, by Power of Attorney | | 12/6/2019 |
**Signature of Reporting Person | Date |
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