SEC Form 4 · accession 0000045012-17-000208
HALLIBURTON CO · HAL
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Milton Carroll
Director
Period of report
Sep 30, 2017
Accepted (ET)
Oct 3, 2017 · 4:41 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 | holding | — | — | — | 20,271 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Stock Equivalent UnitsF2,F4,F1,F3 | — | Sep 30, 2017 | A | 731 | A | — | — | Common Stock | 731 | 26,953 | D |
| 2017 Restricted Stock UnitsF7,F5,F6 | — | holding | — | — | — | — | — | Common Stock | 4,286 | 4,286 | D |
| 2016 Restricted Stock UnitsF7,F5,F6 | — | holding | — | — | — | — | — | Common Stock | 4,259 | 4,259 | D |
| 2015 Restricted Stock UnitsF7,F5,F6 | — | holding | — | — | — | — | — | Common Stock | 4,628 | 4,628 | D |
| 2014 Restricted Stock UnitsF7,F5,F6 | — | holding | — | — | — | — | — | Common Stock | 2,746 | 2,746 | D |
| 2013 Restricted Stock UnitsF7,F5,F6 | — | holding | — | — | — | — | — | Common Stock | 3,840 | 3,840 | D |
| 2012 Restricted Stock UnitsF7,F5,F6 | — | holding | — | — | — | — | — | Common Stock | 5,682 | 5,682 | D |
Explanation of responses
- F1The security converts to common stock on a one-for-one basis.
- F2Stock equivalents acquired under the Halliburton Company Directors' Deferred Compensation Plan reported on a pro rata basis to reflect Issuer's Plan quarter. Said Plan is an ongoing securities acquisition plan.
- F3The stock equivalent units were accrued under the Company's Directors' Deferred Compensation Plan and are settled in the Company's common stock following cessation as a director.
- F4A portion of the stock equivalents attributable to quarterly dividends and a portion attributable to quarterly fees are based on the closing price on September 27, 2017 of $45.58 and September 28, 2017 of $45.83 respectively.
- F5Each restricted stock unit represents a right to receive one share of the Company's common stock.
- F6The restricted stock units vest in four equal annual installments beginning with the first anniversary of the award. Shares will be delivered to the reporting person either upon vesting, or if reporting person elected to defer receipt, following cessation as a director.
- F7Includes dividend equivalent units through dividend payment date September 30, 2017.