SEC Form 4 · accession 0001179110-16-027344
HALOZYME THERAPEUTICS, INC. · HALO
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Athena Countouriotis
Officer — SVP and Chief Medical Officer
Period of report
Jun 30, 2016
Accepted (ET)
Jul 5, 2016 · 4:55 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 | Jun 30, 2016 | M | 6,450 | $0.00 | A | 20,088 | D | |
| Common StockF1 | Jun 30, 2016 | F | 107 | $8.63 | D | 19,981 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Performance Stock UnitsF2 | $0.00 | Jun 30, 2016 | A | 6,450 | A | — | — | Common Stock | 6,450 | 6,450 | D |
| Performance Stock UnitsF2 | $0.00 | Jun 30, 2016 | M | 6,450 | D | — | — | Common Stock | 6,450 | 0 | D |
Explanation of responses
- F1The reported disposition of 107 shares represents the shares that were withheld by the issuer as payment for tax withholding obligations.
- F2Each earned Performance Stock Unit ("PSU") is settled by delivery of one share of common stock. Subject to the terms of the PSU award agreement, each PSU was certified as earned and vested on June 30, 2016.