10/06/2025 | Press release | Distributed by Public on 10/06/2025 15:14
FORM 3
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UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 INITIAL STATEMENT OF BENEFICIAL OWNERSHIP OF SECURITIES 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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Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. | SEC 1473 (7-02) | ||
Persons who respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB control number. |
1. Title of Derivative Security (Instr. 4) |
2. Date Exercisable and Expiration Date (Month/Day/Year) |
3. Title and Amount of Securities Underlying Derivative Security (Instr. 4) |
4. Conversion or Exercise Price of Derivative Security |
5. Ownership Form of Derivative Security: Direct (D) or Indirect (I) (Instr. 5) |
6. Nature of Indirect Beneficial Ownership (Instr. 5) |
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Date Exercisable | Expiration Date | Title | Amount or Number of Shares | ||||
Option to Purchase Common Stock | 11/01/2024(1) | 11/01/2033 | Common Stock | 89,224 | $33.51 | D | |
Option to Purchase Common Stock | 02/20/2026(1) | 02/20/2035 | Common Stock | 11,302 | $57.44 | D | |
Restricted Stock Unit | 11/01/2024(2) | (2) | Common Stock | 27,977 | $0 | D | |
Restricted Stock Unit | 02/20/2026(2) | (2) | Common Stock | 10,664 | $0 | D | |
Performance Stock Unit | 02/23/2027(3) | (3) | Common Stock | 2,237 | $0 | D | |
Performance Stock Unit | 02/23/2027(3) | (3) | Common Stock | 9,246 | $0 | D |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
Caudill Cortney C/O HALOZYME THERAPEUTICS, INC. 12390 EL CAMINO REAL SAN DIEGO, CA 92130 |
SVP, CHIEF OPERATING OFFICER |
/s/ James R. Oehler, Attorney-in-Fact | 10/06/2025 | |
**Signature of Reporting Person | Date |
* | If the form is filed by more than one reporting person, see Instruction 5(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). |
(1) | This option vests one-fourth on such date and then vests 1/48th monthly thereafter. |
(2) | One-fourth of the original grant vests on such date and one-fourth vests annually thereafter. Represents a restricted stock unit award with no exercise price. |
(3) | Each restricted stock unit represents a contingent right to receive one share of the Issuer's common stock. The Issuer awarded the reporting person performance-based vesting stock units ("PSUs") on February 23, 2024 that included a performance measurement period ending December 31, 2024. This PSU holding represents the Issuer's determination of the number of stock units that became eligible to vest based on performance for such performance period. The stock units remain subject to a service-based requirement through the third anniversary of the PSU grant date. |
Remarks: Exhibit List: Exhibit 24 - Power of Attorney |