SEC Form 4 · accession 0001140361-16-068288

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 31, 2016

Accepted (ET)

Jun 2, 2016 · 4:28 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 Stock^F1,F2	May 31, 2016	J	1,326,320	—	D	0	I	by NRM IV
Common Stock^F1,F2	May 31, 2016	J	81,795	—	A	216,795	I	by Staff 2001
Common Stock^F1,F2	May 31, 2016	J	371,186	—	A	3,056,601	I	by R.J. Kirk DOT
Common Stock^F1,F2	May 31, 2016	J	372	—	A	11,317	I	by Lotus
Common Stock^F1,F2	May 31, 2016	J	9,954	—	A	302,954	I	by JPK 2008
Common Stock^F1,F2	May 31, 2016	J	9,954	—	A	302,954	I	by MGK 2008
Common Stock^F1,F2	May 31, 2016	J	9,954	—	A	302,954	I	by ZSK 2008
Common Stock^F1,F2	May 31, 2016	J	23,259	—	A	354,654	I	by JPK 2009
Common Stock^F1,F2	May 31, 2016	J	23,259	—	A	354,653	I	by MGK 2009
Common Stock^F1,F2	May 31, 2016	J	2,235	—	A	2,235	I	by ZSK 2009
Common Stock^F1,F2	May 31, 2016	J	27,260	—	A	290,460	I	by JPK 2012
Common Stock^F1,F2	May 31, 2016	J	4,382	—	A	46,701	I	by Kellie L. Banks LTT
Common Stock^F1,F2	May 31, 2016	J	131,144	—	A	131,144	I	by Senior Staff 2006
Common Stock^F1,F2	May 31, 2016	J	65,572	—	A	65,572	I	by Staff 2006
Common Stock^F1,F2	May 31, 2016	J	21,858	—	A	21,858	I	by Incentive 2006
Common Stock^F2	holding	—	—		—	3,977,445	I	by Kapital Joe
Common Stock^F2	holding	—	—		—	6,328,853	I	by NRM V
Common Stock	holding	—	—		—	3,538,253	D

Table II — derivative securities

No Table II lines on this filing.

Explanation of responses

F1On May 31, 2016, New River Management IV, LP ("NRM IV") made a liquidating distribution of its assets to its partners in connection with the dissolution of the partnership in accordance with the terms of its limited partnership agreement. NRM IV held 1,326,320 shares of common stock of the issuer. The following entities in their capacities as partners of NRM IV, or designees, received shares: Third Security Staff 2001 LLC ("Staff 2001"), R.J. Kirk DOT, Lotus Capital (2000) Co, Inc. ("Lotus"), JPK 2008 LLC ("JPK 2008"), MGK 2008 LLC ("MGK 2008"), ZSK 2008 LLC ("ZSK 2008"), JPK 2009 LLC ("JPK 2009"), MGK 2009 LLC ("MGK 2009"), ZSK 2009 LLC ("ZSK 2009"), JPK 2012 LLC ("JPK 2012"), Kellie L Banks (2009) Long Term Trust ("Kellie L. Banks LTT"), Third Security Senior Staff 2006 LLC ("Senior Staff 2006"), Third Security Staff 2006 LLC ("Staff 2006") and Third Security Incentive 2006 LLC ("Incentive 2006").
F2Randal J. Kirk controls each of NRM IV, Staff 2001, R.J. Kirk DOT, Lotus, JPK 2008, MGK 2008, ZSK 2008, JPK 2009, MGK 2009, ZSK 2009, JPK 2012, Kellie L. Banks LTT, Senior Staff 2006, Staff 2006, Incentive 2006, Kapital Joe, LLC ("Kapital Joe") 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.