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UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OF SECURITIES Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934, Section 17(a) of the Public Utility Holding Company Act of 1935 or Section 30(h) of the Investment Company Act of 1940 |
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Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. | |||
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 control number. | SEC 1474 (9-02) |
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 Underlying Securities (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 of Derivative Security: Direct (D) or Indirect (I) (Instr. 4) |
11. Nature of Indirect Beneficial Ownership (Instr. 4) |
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Code | V | (A) | (D) | Date Exercisable | Expiration Date | Title | Amount or Number of Shares | ||||||||
Option to Buy Common Stock | $ 31.44 | 12/05/2018 | A | 66,800 | 12/05/2018(5) | 12/05/2028 | Common Stock | 66,800 | $ 0 | 66,800 | D | ||||
Option to Buy Common Stock | $ 43.38 | 12/06/2017 | 12/06/2027 | Common Stock | 48,070 | 48,070 | D | ||||||||
Option to Buy Common Stock | $ 53.54 | 12/07/2016 | 12/07/2026 | Common Stock | 40,100 | 40,100 | D | ||||||||
Option to Buy Common Stock | $ 38.95 | 12/02/2015 | 12/02/2025 | Common Stock | 58,700 | 58,700 | D | ||||||||
Option to Buy Common Stock | $ 40.75 | 12/03/2014 | 12/03/2024 | Common Stock | 59,500 | 59,500 | D | ||||||||
Option to Buy Common Stock | $ 50.62 | 12/04/2013 | 12/04/2023 | Common Stock | 45,500 | 45,500 | D | ||||||||
Option to Buy Common Stock | $ 33.5 | 12/05/2012 | 12/05/2022 | Common Stock | 56,900 | 56,900 | D | ||||||||
Option to Buy Common Stock | $ 35.57 | 12/06/2011 | 12/06/2021 | Common Stock | 43,700 | 43,700 | D | ||||||||
Option to Buy Common Stock | $ 39.19 | 12/01/2010 | 12/01/2020 | Common Stock | 26,100 | 26,100 | D | ||||||||
06/2017 Restricted Stock Units | $ 0 (6) | (7) | (7) | Common Stock | 108,743 | 108,743 | D |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
Brown James S 1125 17TH STREET SUITE 1900 DENVER, CO 80202 |
President - Western Hemisphere |
/s/ Bruce A. Metzinger, by Power of Attorney | 12/07/2018 | |
**Signature of Reporting Person | Date |
* | 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). |
(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 66.994 shares of stock purchased through the Halliburton Company Employee Stock Purchase Plan for the period ended September 30, 2018. |
(3) | Shares 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. |
(4) | December 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. |
(5) | The 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. |
(6) | Each Restricted Stock Unit represents the right to receive one share of common stock. |
(7) | One-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. |