Statement of Changes in Beneficial Ownership (4)
November 02 2020 - 3:17PM
Edgar (US Regulatory)
FORM 4
[ ]
Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b).
UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OF SECURITIES
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3235-0287
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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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1. Name and Address of Reporting Person
*
Richard Mark |
2. Issuer Name and Ticker or Trading Symbol
HALLIBURTON CO
[
HAL
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5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
_____ Director _____ 10% Owner __X__ Officer (give title below) _____ Other (specify below) President - Western Hemisphere |
(Last)
(First)
(Middle)
3000 N. SAM HOUSTON PKWY E. |
3. Date of Earliest Transaction
(MM/DD/YYYY)
10/29/2020 |
(Street)
HOUSTON, TX 77032
(City)
(State)
(Zip)
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4. If Amendment, Date Original Filed
(MM/DD/YYYY)
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6. Individual or Joint/Group Filing
(Check Applicable Line)
_X
_ Form filed by One Reporting Person
___ Form filed by More than One Reporting Person
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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)
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2. Trans. Date
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2A. Deemed Execution Date, if any
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3. Trans. Code (Instr. 8)
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4. Securities Acquired (A) or Disposed of (D) (Instr. 3, 4 and 5)
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5. Amount of Securities Beneficially Owned Following Reported Transaction(s) (Instr. 3 and 4)
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6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4)
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7. Nature of Indirect Beneficial Ownership (Instr. 4)
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Code
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V
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Amount
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(A) or (D)
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Price
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Common Stock | 10/29/2020 | | M | | 2134 (1) | A | $12.51 | 164961.357 (3)(4) | D | |
Common Stock | 10/29/2020 | | F | | 840 (2) | D | $12.51 | 164121.357 | D | |
Table II - Derivative Securities Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities)
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1. Title of Derivate Security (Instr. 3) | 2. Conversion or Exercise Price of Derivative Security | 3. Trans. Date | 3A. Deemed Execution Date, if any | 4. Trans. 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 | 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 of Derivative Security: 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 |
Restricted Stock Units (10/2015) | (5) | 10/29/2020 | | M | | | 2134 | (6) | (6) | Common Stock | 2134 | $0 | 0 | D | |
Option to Buy Common Stock | $31.65 | | | | | | | 1/5/2010 | 1/5/2020 | Common Stock | 7000 | | 0 (7) | D | |
Option to Buy Common Stock | $40.83 | | | | | | | 1/1/2011 | 1/1/2021 | Common Stock | 4600 | | 4600 | D | |
Option to Buy Common Stock | $34.15 | | | | | | | 1/3/2012 | 1/3/2022 | Common Stock | 6400 | | 6400 | D | |
Option to Buy Common Stock | $36.31 | | | | | | | 1/3/2013 | 1/3/2023 | Common Stock | 13900 | | 13900 | D | |
Option to Buy Common Stock | $50.01 | | | | | | | 1/2/2014 | 1/2/2024 | Common Stock | 7900 | | 7900 | D | |
Option to Buy Common Stock | $39.49 | | | | | | | 1/2/2015 | 1/2/2025 | Common Stock | 14807 | | 14807 | D | |
Option to Buy Common Stock | $34.48 | | | | | | | 1/4/2016 | 1/4/2026 | Common Stock | 28604 | | 28604 | D | |
Option to Buy Common Stock | $55.68 | | | | | | | 1/3/2017 | 1/3/2027 | Common Stock | 17119 | | 17119 | D | |
Option to Buy Common Stock (01/2018) | $49.61 | | | | | | | 1/2/2018 | 1/2/2028 | Commom Stock | 24019 | | 24019 | D | |
Option to Buy Common Stock (12/2018) | $27.14 | | | | | | | 12/20/2018 | 12/20/2028 | Common Stock | 43924 | | 43924 | D | |
Explanation of Responses: |
(1) | Vesting of 20% of restricted stock units granted on October 27, 2015. |
(2) | 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. |
(3) | Includes 1,012.966 shares of stock purchased through the Halliburton Company Employee Stock Purchase Plan for the periods ended March 31, 2020. |
(4) | Includes 2,924.861 shares of stock accumulated through dividend reinvestment as of September 30, 2020. |
(5) | Each Restricted Stock Unit represents the right to receive one share of common stock. |
(6) | The restricted stock units vest in five equal annual installments beginning with the first anniversary of the award. Shares will be delivered to the reporting person upon vesting. |
(7) | Stock option expired January 5, 2020. |
Reporting Owners
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Reporting Owner Name / Address | Relationships |
Director | 10% Owner | Officer | Other |
Richard Mark 3000 N. SAM HOUSTON PKWY E. HOUSTON, TX 77032 |
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| President - Western Hemisphere |
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Signatures
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Bruce Metzinger, by Power of Attorney | | 11/2/2020 |
**Signature of Reporting Person | Date |
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