SEC Form 4 · accession 0001140361-16-063633
HALOZYME THERAPEUTICS, INC. · HALO
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Randal J Kirk
Director · 10% Owner
Period of report
May 4, 2016
Accepted (ET)
May 5, 2016 · 7:08 pm EDT
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001159036
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common StockF1 | May 4, 2016 | A | 20,202 | $0.00 | A | 3,538,253 | D | |
| Common StockF2 | holding | — | — | — | 2,685,415 | I | by R.J. Kirk DOT | |
| Common StockF2 | holding | — | — | — | 263,200 | I | by JPK 2012 | |
| Common StockF2 | holding | — | — | — | 42,319 | I | by Kellie L. Banks LTT | |
| Common StockF2 | holding | — | — | — | 3,977,445 | I | by Kapital Joe | |
| Common StockF2 | holding | — | — | — | 331,395 | I | by JPK 2009 | |
| Common StockF2 | holding | — | — | — | 331,394 | I | by MGK 2009 | |
| Common StockF2 | holding | — | — | — | 293,000 | I | by JPK 2008 | |
| Common StockF2 | holding | — | — | — | 293,000 | I | by MGK 2008 | |
| Common StockF2 | holding | — | — | — | 293,000 | I | by ZSK 2008 | |
| Common StockF2 | holding | — | — | — | 10,945 | I | by Lotus Capital | |
| Common StockF2 | holding | — | — | — | 135,000 | I | by Staff 2001 | |
| Common StockF2 | holding | — | — | — | 1,326,320 | I | by NRM IV | |
| Common StockF2 | holding | — | — | — | 6,328,853 | I | by NRM V |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1Represents annual restricted stock grant as compensation for services pursuant to the Halozyme Therapeutics, Inc. 2011 Stock Plan. This grant will vest in full on the earlier of (i) May 4, 2017 or (ii) the date of the issuer's next Annual Meeting.
- F2Randal J. Kirk controls each of R.J. Kirk Declaration of Trust ("R.J. Kirk DOT"), JPK 2012, LLC ("JPK 2012"), Kellie L. Banks (2009) Long Term Trust ("Kellie L. Banks LTT"), Kapital Joe, LLC ("Kapital Joe"), JPK 2009, LLC ("JPK 2009"), MGK 2009, LLC ("MGK 2009"), JPK 2008, LLC ("JPK 2008"), MGK 2008, LLC ("MGK 2008"), ZSK 2008, LLC ("ZSK 2008"), Lotus Capital (2000) Company, Inc. ("Lotus Capital"), Third Security Staff 2001 LLC ("Staff 2001"), New River Management IV, LP ("NRM IV") and New River Management V, LP ("NRM V"). Shares held by these entities may be deemed to be indirectly beneficially owned (as defined under Rule 13d-3 promulgated under the Securities Exchange Act of 1934, as amended) by Mr. Kirk. Mr. Kirk disclaims beneficial ownership of such shares, except to the extent of any pecuniary interest therein.