SEC Form 4 · accession 0001567619-18-001313

HALOZYME THERAPEUTICS, INC. · HALO

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

Reporting owner

10% Owner

Period of report

Aug 14, 2018

Accepted (ET)

Aug 16, 2018 · 5:16 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	Aug 14, 2018	S	123,014	$17.36	D	4,719,290	I	by R.J. Kirk DOT
Common Stock^F1,F2	Aug 15, 2018	S	37,144	$17.15	D	4,682,146	I	by R.J. Kirk DOT
Common Stock^F1,F2	Aug 16, 2018	S	38,695	$17.24	D	4,643,451	I	by R.J. Kirk DOT
Common Stock^F1,F2	Aug 14, 2018	S	180,154	$17.36	D	3,096,119	I	by Kapital Joe
Common Stock^F1,F2	Aug 15, 2018	S	54,397	$17.15	D	3,041,722	I	by Kapital Joe
Common Stock^F1,F2	Aug 16, 2018	S	56,668	$17.24	D	2,985,054	I	by Kapital Joe
Common Stock^F2	holding	—	—		—	2,327,603	I	by TSCP V
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	—	—		—	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	—	—		—	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
Common Stock	holding	—	—		—	3,562,388	D

No Table II lines on this filing.

F1Kapital Joe, LLC ("Kapital Joe") and the R.J. Kirk Declaration of Trust ("R.J. Kirk DOT") sold shares on a pro rata basis.
F2Randal J. Kirk controls each of R.J. Kirk DOT, Kapital Joe, Third Security Capital Partners V, LLC ("TSCP V"), JPK 2012, LLC ("JPK 2012"), Kellie L. Banks (2009) Long Term Trust ("Kellie L. Banks LTT"), 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"), 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.