SEC FORM 4 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*
Richard Mark

(Last) (First) (Middle)
3000 N. SAM HOUSTON PKWY E.

(Street)
HOUSTON TX 77032

(City) (State) (Zip)
2. Issuer Name and Ticker or Trading Symbol
HALLIBURTON CO [ HAL ]
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
3. Date of Earliest Transaction (Month/Day/Year)
10/31/2019
4. If Amendment, Date of Original Filed (Month/Day/Year)
6. Individual or Joint/Group Filing (Check Applicable Line)
X Form filed by One Reporting Person
Form filed by More than One Reporting Person
Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
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 10/31/2019 M 2,134(1) A $20.48 109,442.624(3)(4) D
Common Stock 10/31/2019 F 840(2) D $20.48 108,582.624 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 (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
Restricted Stock Units (10/2015) (5) 10/31/2019 M 2,134 (6) (6) Common Stock 4,268 $0 2,134 D
Option to Buy Common Stock $31.65 01/05/2010 01/05/2020 Common Stock 7,000 7,000 D
Option to Buy Common Stock $40.83 01/01/2011 01/01/2021 Common Stock 4,600 4,600 D
Option to Buy Common Stock $34.15 01/03/2012 01/03/2022 Common Stock 6,400 6,400 D
Option to Buy Common Stock $36.31 01/03/2013 01/03/2023 Common Stock 13,900 13,900 D
Option to Buy Common Stock $50.01 01/02/2014 01/02/2024 Common Stock 7,900 7,900 D
Option to Buy Common Stock $39.49 01/02/2015 01/02/2025 Common Stock 14,807 14,807 D
Option to Buy Common Stock $34.48 01/04/2016 01/04/2026 Common Stock 28,604 28,604 D
Option to Buy Common Stock $55.68 01/03/2017 01/03/2027 Common Stock 17,119 17,119 D
Option to Buy Common Stock (01/2018) $49.61 01/02/2018 01/02/2028 Commom Stock 24,019 24,019 D
Option to Buy Common Stock (12/2018) $27.14 12/20/2018 12/20/2028 Common Stock 43,924 439.24 D
Restricted Stock Units (01/2015) (5) (6) (6) Common Stock 2,091 2,091 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 899.678 shares of stock purchased through the Halliburton Company Employee Stock Purchase Plan for the periods ended March 31, 2019, June 30, 2019 and September 30, 2019.
4. Includes 1,292.409 shares of stock accumulated through dividend reinvestment as of October 31 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.
Remarks:
Brian A. Salazar, by Power of Attorney 11/04/2019
** 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.
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