Initial Statement of Beneficial Ownership (3)
January 06 2020 - 04:30PM
Edgar (US Regulatory)
FORM 3
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UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
INITIAL STATEMENT OF BENEFICIAL OWNERSHIP OF SECURITIES
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OMB APPROVAL
OMB Number:
3235-0104
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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
*
Matsuda Masaru |
2. Date of Event Requiring Statement (MM/DD/YYYY)
1/3/2020
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3. Issuer Name and Ticker or Trading Symbol
HALOZYME THERAPEUTICS, INC. [HALO]
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(Last)
(First)
(Middle)
C/O HALOZYME THERAPEUTICS, INC., 11388 SORRENTO VALLEY ROAD |
4. Relationship of Reporting Person(s) to Issuer (Check all applicable)
_____ Director _____ 10% Owner ___X___ Officer (give title below) _____ Other (specify below) SVP, General Counsel / |
(Street)
SAN DIEGO, CA 92121
(City)
(State)
(Zip)
| 5. 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
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Table I - Non-Derivative Securities Beneficially Owned
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1.Title of Security (Instr. 4) | 2. Amount of Securities Beneficially Owned (Instr. 4) | 3. Ownership Form: Direct (D) or Indirect (I) (Instr. 5) | 4. Nature of Indirect Beneficial Ownership (Instr. 5) |
Common Stock | 4489 | 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. 4) | 2. Date Exercisable and Expiration Date (MM/DD/YYYY) | 3. Title and Amount of Securities Underlying Derivative Security (Instr. 4) | 4. Conversion or Exercise Price of Derivative Security | 5. Ownership Form of Derivative Security: Direct (D) or Indirect (I) (Instr. 5) | 6. Nature of Indirect Beneficial Ownership (Instr. 5) |
Date Exercisable | Expiration Date | Title | Amount or Number of Shares |
Option to Purchase Common Stock | 9/4/2019 (1) | 9/4/2028 | Common Stock | 101975 | $18.16 | D | |
Option to Purchase Common Stock | 2/12/2020 (1) | 2/12/2029 | Common Stock | 31505 | $16.65 | D | |
Restricted Stock Unit Award | 9/4/2019 (2) | (2) | Common Stock | 20650 | (2) | D | |
Restricted Stock Unit Award | 2/12/2020 (2) | (2) | Common Stock | 16517 | (2) | D | |
Explanation of Responses: |
(1) | This option vests one-fourth on such date and then vests 1/48th monthly thereafter. |
(2) | One-fourth of the original grant vests on such date and one-fourth vests annually thereafter. Represents a restricted stock unit award with no exercise price. |
Remarks: Exhibit List: Exhibit 24 - Power of Attorney |
Reporting Owners
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Reporting Owner Name / Address | Relationships |
Director | 10% Owner | Officer | Other |
Matsuda Masaru C/O HALOZYME THERAPEUTICS, INC. 11388 SORRENTO VALLEY ROAD SAN DIEGO, CA 92121 |
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| SVP, General Counsel |
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Signatures
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/s/ James R. Oehler as attorney-in-fact for Masaru Matsuda | | 1/6/2020 |
**Signature of Reporting Person | Date |
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