Statement of Changes in Beneficial Ownership (4)
April 01 2021 - 7:44PM
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
|
OMB APPROVAL
OMB Number:
3235-0287
Estimated average burden hours per response...
0.5
|
|
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
*
Sun Elaine D |
2. Issuer Name and Ticker or Trading Symbol
HALOZYME THERAPEUTICS, INC.
[
HALO
]
|
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)
4/1/2021 |
(Street)
SAN DIEGO, CA 92121
(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 | 4/1/2021 | | M | | 10196 | A | $0 | 18077 | D | |
Common Stock | 4/1/2021 | | F | | 4059 (1) | D | $42.43 | 14018 | 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 |
Performance Stock Units | $0 | 4/1/2021 | | M | | | 10196 | (2) | (2) | Common Stock | 10196 | $0 | 30600 | D | |
Explanation of Responses: |
(1) | The reported disposition of 4,059 shares represents the shares that were withheld by the issuer as payment for minimum statutory tax withholding obligations. |
(2) | Each earned Performance Stock Unit (PSU) is settled by delivery of one share of common stock. The vesting of these PSUs was subject to the satisfaction of both performance-based and time-based vesting conditions. The performance-based condition was satisfied as to 25% of the total PSU grant upon achievement of each of four separate milestones of 20%, 30%, 40% and 50% average increases over 20 consecutive trading days of the closing price of the Issuer's common stock on the date of grant. 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. Subject to the terms of the PSU award agreement, the performance-based conditions of the PSU grant were certified as satisfied on July 2, 2020. Therefore, vesting of these PSUs remains subject only to the time-based vesting conditions. |
Reporting Owners
|
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 |
|
| SVP, Chief Financial Officer |
|
Signatures
|
/s/ James R. Oehler as attorney-in-fact for Elaine D. Sun | | 4/1/2021 |
**Signature of Reporting Person | Date |
Halozyme Therapeutics (NASDAQ:HALO)
Historical Stock Chart
From Mar 2024 to Apr 2024
Halozyme Therapeutics (NASDAQ:HALO)
Historical Stock Chart
From Apr 2023 to Apr 2024