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HALLIBURTON CO — Director's Dealing 2018
May 8, 2018
30269_dirs_2018-05-08_c67d000b-431a-4f35-be36-a7890536e694.zip
Director's Dealing
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SEC Form 4 — Statement of Changes in Beneficial Ownership
Issuer: HALLIBURTON CO (HAL)
CIK: 0000045012
Period of Report: 2018-05-04
Reporting Person: LESAR DAVID J (Director, Exec Chairman of the Board)
Non-Derivative Transactions
| Date | Security | Code | Shares | Price | A/D | Holdings After | Ownership |
|---|---|---|---|---|---|---|---|
| 2014-03-19 | Common Stock | J | 65907.05 | — | Disposed | 458680.663 | Direct |
| 2014-03-19 | Common Stock | J | 65907.05 | — | Acquired | 156754.29 | Indirect |
Derivative Transactions
| Date | Security | Exercise Price | Code | Shares | A/D | Expiration | Underlying | Ownership |
|---|---|---|---|---|---|---|---|---|
| 2018-05-04 | Call option (obligation to sell) | $57.1805 | S | 1 | Disposed | 2019-02-01 | Common Stock (156748) | Indirect |
| 2018-05-04 | Put option (right to sell) | $46.912 | P | 1 | Acquired | 2019-02-01 | Common Stock (156748) | Indirect |
Holdings (Derivative)
| Security | Exercise Price | Expiration | Underlying | Shares | Ownership |
|---|---|---|---|---|---|
| Option to Buy Common Stock | $43.38 | 2027-12-06 | Common Stock (77899) | 77899 | Direct |
| Option to Buy Common Stock | $53.54 | 2026-12-07 | Common Stock (114900) | 114900 | Direct |
| Option to Buy Common Stock | $38.95 | 2025-12-02 | Common Stock (176900) | 176900 | Direct |
| Option to Buy Common Stock | $40.75 | 2024-12-03 | Common Stock (178100) | 178100 | Direct |
| Option to Buy Common Stock | $50.62 | 2023-12-04 | Common Stock (137900) | 137900 | Direct |
| Option to Buy Common Stock | $33.50 | 2022-12-05 | Common Stock (208900) | 208900 | Direct |
| Option to Buy Common Stock | $35.57 | 2021-12-06 | Common Stock (141900) | 141900 | Direct |
| Option to Buy Common Stock | $39.19 | 2020-12-01 | Common Stock (108000) | 108000 | Direct |
| 06/2017 Restricted Stock Units | $0 | Common Stock (326229) | 326229 | Direct |
Footnotes
F1: Reporting person transferred shares to spouse.
F2: Indirect beneficial ownership total reduced by 25,000 to correct for an administrative error in the indirect beneficial ownership total listed on Form 4 report submitted 12/7/2017.
F3: The spouse of the reporting person entered into a "zero-cost collar" arrangement pursuant to which she wrote a covered call option and purchased a put option. Only one of the options, if any, can be in the money on the expiration date, at which time the in-the-money option will be exercised (and settled for cash), and the other option will expire. If neither option is in the money on the expiration date, both options will expire.
F4: Each Restricted Stock Unit represents the right to receive one share of common stock.
F5: 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 distribute as cash in three equal annual installments beginning December 31, 2019.