0001140361-16-063633.txt : 20160505 0001140361-16-063633.hdr.sgml : 20160505 20160505190821 ACCESSION NUMBER: 0001140361-16-063633 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20160504 FILED AS OF DATE: 20160505 DATE AS OF CHANGE: 20160505 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: HALOZYME THERAPEUTICS INC CENTRAL INDEX KEY: 0001159036 STANDARD INDUSTRIAL CLASSIFICATION: BIOLOGICAL PRODUCTS (NO DIAGNOSTIC SUBSTANCES) [2836] IRS NUMBER: 880488686 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 BUSINESS ADDRESS: STREET 1: 11388 SORRENTO VALLEY ROAD CITY: SAN DIEGO STATE: CA ZIP: 92121-1345 BUSINESS PHONE: (858) 794-8889 MAIL ADDRESS: STREET 1: 11388 SORRENTO VALLEY ROAD CITY: SAN DIEGO STATE: CA ZIP: 92121-1345 FORMER COMPANY: FORMER CONFORMED NAME: GLOBAL YACHT SERVICES INC DATE OF NAME CHANGE: 20010912 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: KIRK RANDAL J CENTRAL INDEX KEY: 0001091823 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-32335 FILM NUMBER: 161625507 MAIL ADDRESS: STREET 1: 1881 GROVE AVENUE CITY: RADFORD STATE: VA ZIP: 24141 4 1 doc1.xml FORM 4 X0306 4 2016-05-04 0 0001159036 HALOZYME THERAPEUTICS INC HALO 0001091823 KIRK RANDAL J C/O THIRD SECURITY, LLC 1881 GROVE AVENUE RADFORD VA 24141 1 0 1 0 Common Stock 2016-05-04 4 A 0 20202 0 A 3538253 D Common Stock 2685415 I by R.J. Kirk DOT Common Stock 263200 I by JPK 2012 Common Stock 42319 I by Kellie L. Banks LTT Common Stock 3977445 I by Kapital Joe Common Stock 331395 I by JPK 2009 Common Stock 331394 I by MGK 2009 Common Stock 293000 I by JPK 2008 Common Stock 293000 I by MGK 2008 Common Stock 293000 I by ZSK 2008 Common Stock 10945 I by Lotus Capital Common Stock 135000 I by Staff 2001 Common Stock 1326320 I by NRM IV Common Stock 6328853 I by NRM V Represents annual restricted stock grant as compensation for services pursuant to the Halozyme Therapeutics, Inc. 2011 Stock Plan. This grant will vest in full on the earlier of (i) May 4, 2017 or (ii) the date of the issuer's next Annual Meeting. Randal J. Kirk controls each of R.J. Kirk Declaration of Trust ("R.J. Kirk DOT"), JPK 2012, LLC ("JPK 2012"), Kellie L. Banks (2009) Long Term Trust ("Kellie L. Banks LTT"), Kapital Joe, LLC ("Kapital Joe"), JPK 2009, LLC ("JPK 2009"), MGK 2009, LLC ("MGK 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"), New River Management IV, LP ("NRM IV") and New River Management V, LP ("NRM V"). 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. /s/ Randal J. Kirk 2016-05-05