SEC Form 4
FORM 4 | UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934 or Section 30(h) of the Investment Company Act of 1940 |
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Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b). |
1. Name and Address of Reporting Person*
(Street)
| 2. Issuer Name and Ticker or Trading Symbol HALLIBURTON CO [ HAL ] | 5. Relationship of Reporting Person(s) to Issuer (Check all applicable)
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3. Date of Earliest Transaction (Month/Day/Year) 12/06/2017 | ||||||||||||||||||||||||||
4. If Amendment, Date of Original Filed (Month/Day/Year) | 6. Individual or Joint/Group Filing (Check Applicable Line)
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Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned | ||||||||||
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1. Title of Security (Instr. 3) | 2. Transaction Date (Month/Day/Year) | 2A. Deemed Execution Date, if any (Month/Day/Year) | 3. Transaction Code (Instr. 8) | 4. Securities Acquired (A) or Disposed Of (D) (Instr. 3, 4 and 5) | 5. Amount of Securities Beneficially Owned Following Reported Transaction(s) (Instr. 3 and 4) | 6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4) | 7. Nature of Indirect Beneficial Ownership (Instr. 4) | |||
Code | V | Amount | (A) or (D) | Price | ||||||
Common Stock | 12/06/2017 | F | 7,946(1) | D | $43.89 | 482,685.713(2) | D | |||
Common Stock | 71,469.24 | I | By Spouse |
Table II - Derivative Securities Acquired, Disposed of, or Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities) | |||||||||||||||
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1. Title of Derivative Security (Instr. 3) | 2. Conversion or Exercise Price of Derivative Security | 3. Transaction Date (Month/Day/Year) | 3A. Deemed Execution Date, if any (Month/Day/Year) | 4. Transaction Code (Instr. 8) | 5. Number of Derivative Securities Acquired (A) or Disposed of (D) (Instr. 3, 4 and 5) | 6. Date Exercisable and Expiration Date (Month/Day/Year) | 7. Title and Amount of Securities Underlying Derivative Security (Instr. 3 and 4) | 8. Price of Derivative Security (Instr. 5) | 9. Number of derivative Securities Beneficially Owned Following Reported Transaction(s) (Instr. 4) | 10. Ownership Form: Direct (D) or Indirect (I) (Instr. 4) | 11. Nature of Indirect Beneficial Ownership (Instr. 4) | ||||
Code | V | (A) | (D) | Date Exercisable | Expiration Date | Title | Amount or Number of Shares | ||||||||
Option to Buy Common Stock | $53.54 | 12/07/2016 | 12/07/2026 | Common Stock | 114,900 | 114,900 | D | ||||||||
Option to Buy Common Stock | $38.95 | 12/02/2015 | 12/02/2025 | Common Stock | 176,900 | 176,900 | D | ||||||||
Option to Buy Common Stock | $40.75 | 12/03/2014 | 12/03/2024 | Common Stock | 178,100 | 178,100 | D | ||||||||
Option to Buy Common Stock | $50.62 | 12/04/2013 | 12/04/2023 | Common Stock | 137,900 | 137,900 | D | ||||||||
Option to Buy Common Stock | $33.5 | 12/05/2012 | 12/05/2022 | Common Stock | 208,900 | 208,900 | D | ||||||||
Option to Buy Common Stock | $35.57 | 12/06/2011 | 12/06/2021 | Common Stock | 141,900 | 141,900 | D | ||||||||
Option to Buy Common Stock | $39.19 | 12/01/2010 | 12/01/2020 | Common Stock | 108,000 | 108,000 | D | ||||||||
06/2017 Restricted Stock Units | $0(3) | (4) | (4) | Common Stock | 326,229 | 326,229 | D |
Explanation of Responses: |
1. Shares 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. |
2. Includes 488.324 shares of stock purchased through the Halliburton Company Employee Stock Purchase Plan for the periods ended March 31, 2017, June 30, 2017 and September 30, 2017. |
3. Each Restricted Stock Unit represents the right to receive one share of common stock. |
4. One-half of the Restricted Stock Units vest and distribute as common stock effective December 31, 2018. The other one-half will be valued on December 31, 2018 and distributed as cash in four equal annual installments beginning December 31, 2019. |
Remarks: |
Bruce A. Metzinger, by Power of Attorney | 12/07/2017 | |
** Signature of Reporting Person | Date | |
Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. | ||
* If the form is filed by more than one reporting person, see Instruction 4 (b)(v). | ||
** Intentional misstatements or omissions of facts constitute Federal Criminal Violations See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a). | ||
Note: File three copies of this Form, one of which must be manually signed. If space is insufficient, see Instruction 6 for procedure. | ||
Persons who respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB Number. |