SEC Form 4 · accession 0000045012-16-000390
HALLIBURTON CO · HAL
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Eric Carre
Officer — EVP, Global Business Lines
Period of report
Oct 19, 2016
Accepted (ET)
Oct 20, 2016 · 4:27 pm EDT
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0000045012
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common Stock | Oct 19, 2016 | M | 13,900 | $36.31 | A | 169,994 | D | |
| Common StockF1 | Oct 19, 2016 | S | 13,900 | $50.00 | D | 156,094 | D | |
| Common Stock | Oct 19, 2016 | M | 3,666 | $34.15 | A | 159,760 | D | |
| Common StockF1 | Oct 19, 2016 | S | 3,666 | $50.00 | D | 156,094 | D | |
| Common StockF1,F2 | Oct 19, 2016 | S | 777 | $50.00 | D | 155,411 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Option to Buy Common StockF3 | $36.31 | Oct 19, 2016 | M | 13,900 | D | Jan 3, 2013 | Jan 3, 2023 | Common Stock | 13,900 | 0 | D |
| Option to Buy Common StockF3 | $34.15 | Oct 19, 2016 | M | 3,666 | D | Jan 3, 2012 | Jan 3, 2022 | Common Stock | 3,666 | 0 | D |
| Option to Buy Common Stock | $34.48 | holding | — | — | — | Jan 4, 2016 | Jan 4, 2026 | Common Stock | 28,604 | 28,604 | D |
| Option to Buy Common Stock | $39.49 | holding | — | — | — | Jan 2, 2015 | Jan 2, 2025 | Common Stock | 24,750 | 24,750 | D |
| Option to Buy Common Stock | $50.01 | holding | — | — | — | Jan 2, 2014 | Jan 2, 2024 | Common Stock | 8,300 | 8,300 | D |
| Option to Buy Common Stock | $40.83 | holding | — | — | — | Jan 1, 2011 | Jan 1, 2021 | Common Stock | 7,000 | 7,000 | D |
Explanation of responses
- F1The sales were effected pursuant to a Rule 10b5-1 trading plan adopted by the Reporting Person on August 22, 2016.
- F2Includes 94.500 shares of stock purchased through the Halliburton Company Employee Stock Purchase Plan for the periods ended June 30, 2016 and September 30, 2016.
- F3Options disposed of through exercise pursuant to a Rule 10b5-1 trading plan adopted by the Reporting Person on August 22, 2016.