Sec Form 4 Filing - KIRK RANDAL J @ HALOZYME THERAPEUTICS INC - 2018-08-24

Insider filing report for Changes in Beneficial Ownership
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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
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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1. Name and Address of Reporting Person
KIRK RANDAL J
2. Issuer Name and Ticker or Trading Symbol
HALOZYME THERAPEUTICS INC [ HALO]
5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
_____ Director X __ 10% Owner
_____ Officer (give title below) _____ Other (specify below)
(Last) (First) (Middle)
C/O THIRD SECURITY, LLC, 1881 GROVE AVENUE
3. Date of Earliest Transaction (MM/DD/YY)
08/24/2018
(Street)
RADFORD, VA24141
4. If Amendment, Date Original Filed (MM/DD/YY)
6. Individual or Joint/Group Filing (Check Applicable Line)
__ X __ Form filed by One Reporting Person
_____ Form filed by More than One Reporting Person
(City) (State) (Zip)
Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
1.Title of Security
(Instr. 3)
2. Transaction Date (MM/DD/YY) 2A. Deemed Execution Date, if any (MM/DD/YY) 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 08/24/2018 S 41,944 ( 1 ) D $ 18.2 ( 1 ) 4,120,689 I by R.J. Kirk DOT ( 2 )
Common Stock 08/27/2018 S 44,381 ( 1 ) D $ 18.22 ( 1 ) 4,076,308 I by R.J. Kirk DOT ( 2 )
Common Stock 08/28/2018 S 175,389 ( 1 ) D $ 18.02 ( 1 ) 3,900,919 I by R.J. Kirk DOT ( 2 )
Common Stock 08/24/2018 S 61,428 ( 1 ) D $ 18.2 ( 1 ) 2,219,466 I by Kapital Joe ( 2 )
Common Stock 08/27/2018 S 64,996 ( 1 ) D $ 18.22 ( 1 ) 2,154,470 I by Kapital Joe ( 2 )
Common Stock 08/28/2018 S 256,860 ( 1 ) D $ 18.02 ( 1 ) 1,897,610 I by Kapital Joe ( 2 )
Common Stock 2,327,603 I by TSCP V ( 2 )
Common Stock 290,460 I by JPK 2012 ( 2 )
Common Stock 46,701 I by Kellie L. Banks LTT ( 2 )
Common Stock 354,654 I by JPK 2009 ( 2 )
Common Stock 354,653 I by MGK 2009 ( 2 )
Common Stock 2,235 I by ZSK 2009 ( 2 )
Common Stock 302,954 I by JPK 2008 ( 2 )
Common Stock 302,954 I by MGK 2008 ( 2 )
Common Stock 302,954 I by ZSK 2008 ( 2 )
Common Stock 11,317 I by Lotus Capital ( 2 )
Common Stock 216,795 I by Staff 2001 ( 2 )
Common Stock 131,144 I by Sr Staff 2006 ( 2 )
Common Stock 65,572 I by Staff 2006 ( 2 )
Common Stock 21,858 I by Incentive 2006 ( 2 )
Common Stock 3,562,388 D
Table II - Derivative Securities Acquired, Disposed of, or Beneficially Owned
( e.g. , puts, calls, warrants, options, convertible securities)
1. Title of Derivative Security
(Instr. 3)
2. Conversion or Exercise Price of Derivative Security 3. Transaction Date (MM/DD/YY) 3A. Deemed Execution Date, if any (MM/DD/YY) 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
(MM/DD/YY)
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)
Code V (A) (D) Date Exercisable Expiration Date Title Amount or Number of Shares
Reporting Owners
Reporting Owner Name / Address Relationships
Director 10% Owner Officer Other
KIRK RANDAL J
C/O THIRD SECURITY, LLC
1881 GROVE AVENUE
RADFORD, VA24141
X
Signatures
/s/ Randal J. Kirk 08/28/2018
Signature of Reporting Person Date
Explanation of Responses:
( 1 )Kapital Joe, LLC ("Kapital Joe") and the R.J. Kirk Declaration of Trust ("R.J. Kirk DOT") sold shares on a pro rata basis.
( 2 )Randal J. Kirk controls each of R.J. Kirk DOT, Kapital Joe, Third Security Capital Partners V, LLC ("TSCP V"), JPK 2012, LLC ("JPK 2012"), Kellie L. Banks (2009) Long Term Trust ("Kellie L. Banks LTT"), JPK 2009, LLC ("JPK 2009"), MGK 2009, LLC ("MGK 2009"), ZSK 2009, LLC ("ZSK 2009"), JPK 2008, LLC ("JPK 2008"), MGK 2008, LLC ("MGK 2008"), ZSK 2008, LLC ("ZSK 2008"), Lotus Capital (2000) Company, Inc. ("Lotus Capital"), Third Security Staff 2001 LLC ("Staff 2001"), Third Security Senior Staff 2006 LLC ("Sr Staff 2006"), Third Security Staff 2006 LLC ("Staff 2006") and Third Security Incentive 2006 LLC ("Incentive 2006"). Shares held by these entities may be deemed to be indirectly beneficially owned (as defined under Rule 13d-3 promulgated under the Securities Exchange Act of 1934, as amended) by Mr. Kirk. Mr. Kirk disclaims beneficial ownership of such shares, except to the extent of any pecuniary interest therein.

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* If the form is filed by more than one reporting person, see Instruction 4(b)(v).
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