SEC Form 4 · accession 0000045012-18-000197
HALLIBURTON CO · HAL
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Lawrence J Pope
Officer — EVP Administration & CHRO
Period of report
Dec 4, 2018
Accepted (ET)
Dec 7, 2018 · 4:16 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 | Dec 4, 2018 | F | 1,968 | $31.43 | D | 180,360 | D | |
| Common StockF1,F2 | Dec 5, 2018 | F | 2,015 | $32.66 | D | 178,868 | D | |
| Common StockF3,F4 | Dec 5, 2018 | A | 29,800 | $31.44 | A | 208,668 | 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 StockF5 | $31.44 | Dec 5, 2018 | A | 51,100 | A | Dec 5, 2018 | Dec 5, 2028 | Common Stock | 51,100 | 51,100 | D |
| Option to Buy Common Stock | $43.38 | holding | — | — | — | Dec 6, 2017 | Dec 6, 2027 | Common Stock | 34,300 | 34,300 | D |
| Option to Buy Common Stock | $53.54 | holding | — | — | — | Dec 7, 2016 | Dec 7, 2026 | Common Stock | 30,500 | 30,500 | D |
| Option to Buy Common Stock | $38.95 | holding | — | — | — | Dec 2, 2015 | Dec 2, 2025 | Common Stock | 44,500 | 44,500 | D |
| Option to Buy Common Stock | $40.75 | holding | — | — | — | Dec 3, 2014 | Dec 3, 2024 | Common Stock | 47,400 | 47,400 | D |
| Option to Buy Common Stock | $50.62 | holding | — | — | — | Dec 4, 2013 | Dec 4, 2023 | Common Stock | 29,400 | 29,400 | D |
| Option to Buy Common Stock | $33.50 | holding | — | — | — | Dec 5, 2012 | Dec 5, 2022 | Common Stock | 38,500 | 38,500 | D |
| Option to Buy Common Stock | $35.57 | holding | — | — | — | Dec 6, 2011 | Dec 6, 2021 | Common Stock | 28,300 | 28,300 | D |
| Option to Buy Common Stock | $39.19 | holding | — | — | — | Dec 1, 2010 | Dec 1, 2020 | Common Stock | 23,000 | 23,000 | D |
| Option to Buy Common Stock | $29.35 | holding | — | — | — | Dec 1, 2009 | Dec 1, 2019 | Common Stock | 26,500 | 26,500 | D |
Explanation of responses
- F1Shares transferred to Halliburton Company for payment for federal tax withholding obligations on lapse of restrictions on shares issued under the Stock and Incentive Plan. Said Plan permits Reporting Person to satisfy withholding tax obligation by transferring unrestricted shares to the Issuer.
- F2Includes 523.216 shares of stock purchased through the Halliburton Company Employee Stock Purchase Plan for the period ended March 31, 2018, June 30, 2018, and September 30, 2018.
- F3Shares 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.
- F4December 5, 2018 was declared a Federal Holiday. On December 4, 2018, the closing price of Halliburton Company's Common Stock on the New York Stock Exchange was $31.44.
- F5The 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.