SEC Form 4 · accession 0001140361-17-018828

HALOZYME THERAPEUTICS, INC. · HALO

Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗

Reporting owner

Director · 10% Owner

Period of report

May 4, 2017

Accepted (ET)

May 8, 2017 · 4:01 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	May 4, 2017	A	14,135	$0.00	A	3,552,388	D
Common Stock^F2	holding	—	—		—	3,056,601	I	by R.J. Kirk DOT
Common Stock^F2	holding	—	—		—	290,460	I	by JPK 2012
Common Stock^F2	holding	—	—		—	46,701	I	by Kellie L. Banks LTT
Common Stock^F2	holding	—	—		—	3,977,445	I	by Kapital Joe
Common Stock^F2	holding	—	—		—	354,654	I	by JPK 2009
Common Stock^F2	holding	—	—		—	354,653	I	by MGK 2009
Common Stock^F2	holding	—	—		—	2,235	I	by ZSK 2009
Common Stock^F2	holding	—	—		—	302,954	I	by JPK 2008
Common Stock^F2	holding	—	—		—	302,954	I	by MGK 2008
Common Stock^F2	holding	—	—		—	302,954	I	by ZSK 2008
Common Stock^F2	holding	—	—		—	11,317	I	by Lotus Capital
Common Stock^F2	holding	—	—		—	216,795	I	by Staff 2001
Common Stock^F2	holding	—	—		—	6,328,853	I	by NRM V
Common Stock^F2	holding	—	—		—	131,144	I	by Sr Staff 2006
Common Stock^F2	holding	—	—		—	65,572	I	by Staff 2006
Common Stock^F2	holding	—	—		—	21,858	I	by Incentive 2006

No Table II lines on this filing.

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, 2018 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"), ZSK 2009, LLC ("ZSK 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 V, LP ("NRM V"), Third Security Senior Staff 2006 LLC ("Sr Staff 2006"), Third Security Staff 2006 LLC ("Staff 2006") and Third Security Incentive 2006 LLC ("Incentive 2006"). 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.