SEC Form 4 · accession 0000045012-17-000231
HALLIBURTON CO · HAL
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
James S Brown
Officer — President - Western Hemisphere
Period of report
Dec 4, 2017
Accepted (ET)
Dec 6, 2017 · 2:49 pm EST
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 StockF1,F2 | Dec 4, 2017 | S | 29,485 | $44.012 | D | 129,646 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| 06/2017 Restricted Stock UnitsF3,F4 | $0.00 | holding | — | — | — | — | — | Common Stock | 108,743 | 108,743 | D |
| Option to Buy Common Stock | $53.54 | holding | — | — | — | Dec 7, 2016 | Dec 7, 2026 | Common Stock | 40,100 | 40,100 | D |
| Option to Buy Common Stock | $38.95 | holding | — | — | — | Dec 2, 2015 | Dec 2, 2025 | Common Stock | 58,700 | 58,700 | D |
| Option to Buy Common Stock | $40.75 | holding | — | — | — | Dec 3, 2014 | Dec 3, 2024 | Common Stock | 59,500 | 59,500 | D |
| Option to Buy Common Stock | $50.62 | holding | — | — | — | Dec 4, 2013 | Dec 4, 2023 | Common Stock | 45,500 | 45,500 | D |
| Option to Buy Common Stock | $33.50 | holding | — | — | — | Dec 5, 2012 | Dec 5, 2022 | Common Stock | 56,900 | 56,900 | D |
| Option to Buy Common Stock | $35.57 | holding | — | — | — | Dec 6, 2011 | Dec 6, 2021 | Common Stock | 43,700 | 43,700 | D |
| Option to Buy Common Stock | $39.19 | holding | — | — | — | Dec 1, 2010 | Dec 1, 2020 | Common Stock | 26,100 | 26,100 | D |
Explanation of responses
- F1The sales were effected pursuant to a Rule 10b5-1 trading plan adopted by the Reporting Person on November 3, 2017.
- F2The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $43.98 to $44.046, inclusive. The Reporting Person undertakes to provide to Halliburton Company, any security holder of Halliburton Company, or the staff of the Securities and Exchange Commission, full information regarding the number of shares sold at each separate price within the range set forth above.
- F3Each Restricted Stock Unit represents the right to receive one share of common stock.
- F4One-half of the Restricted Stock Units vest and distribute as common stock effective December 31, 2019. The other one-half will be valued on December 31, 2019 and distribute as cash in three equal annual installments beginning December 31, 2020.