SEC Form 4 · accession 0000045012-17-000263
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 6, 2017
Accepted (ET)
Dec 8, 2017 · 3:57 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 6, 2017 | A | 29,920 | $43.38 | A | 142,030 | 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 | $43.38 | Dec 6, 2017 | A | 48,070 | A | Dec 6, 2017 | Dec 6, 2027 | Common Stock | 48,070 | 48,070 | 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 |
| 06/2017 Restricted Stock UnitsF4,F5 | $0.00 | holding | — | — | — | — | — | Common Stock | 108,743 | 108,743 | D |
Explanation of responses
- F1Shares awarded pursuant to the Halliburton Company Stock and Incentive Plan. Said Plan provides for the surrender of common stock to the Issuer to satisfy withholding tax obligations.
- F2On December 6, 2017, the closing price of Halliburton Company's Common Stock on the New York Stock Exchange was $43.38.
- F3The options awarded become exercisable on each of the first, second and third anniversaries of the grant in cumulative increments of one-third each of the number of shares subject to the grant.
- F4Each Restricted Stock Unit represents the right to receive one share of common stock.
- F5One-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.