Other Information
−Removed: During the fiscal quarter ended ended March 31, 2024, the following officers adopted or terminated any Rule 10b5-1 trading arrangement (as such terms are defined pursuant to Item 408(a) of Regulation S-K) as noted in the table below.
−Removed: Trading Arrangement
−Removed: Name and Title
−Removed: Non-Rule 10b5-1**
−Removed: Total Shares To Be Sold
−Removed: Expiration Date
−Removed: 500,000 Terminated (1)
−Removed: President and Chief Executive Officer
−Removed: The earlier of 02/13/2025 or date all shares are sold
−Removed: President and Chief Executive Officer
−Removed: Nicole LaBrosse
−Removed: The earlier of 06/25/2025 or date all shares are sold
−Removed: Senior Vice President and Chief Financial Officer
−Removed: * Contract, instruction or written plan intended to satisfy the affirmative defense conditions of Rule 10b5-1(c) under the Exchange Act.
−Removed: ** Non-Rule 10b5-1 trading arrangement” as defined in Item 408(c) of Regulation S-K under the Exchange Act.
−Removed: (1) The duration of the trading arrangement was until May 30, 2024, or earlier if all transaction under the trading arrangement had been completed.
−Removed: At the time of termination, no shares had been sold under the trading arrangement.
−Removed: (2) Represents a sale of common shares acquired upon exercise of stock options with ten-year term expiring in 2025.
+Added: During the three months ended June 30, 2024, no director or officer adopted or terminated any Rule 10b5-1 or non-rule 10b5-1 trading arrangement (as such terms are defined pursuant to Item 408(a) of Regulation S-K).
3.1 Amended and Restated Certificate of Incorporation of Halozyme Therapeutics, Inc.
9 unchanged sentences
and The Bank of New York Mellon Trust Company, N.A., as trustee, (included within Exhibit 4.1) ( filed as Exhibit 4.2 to the Company’s Form 8-K filed August 18, 2022 and incorporated herein by reference )
+Added: 10.1 F orm of Restricted Unit Agreement (2021 plan updated June 2024) (filed herewith)
31.1 Certification of Chief Executive Officer pursuant to Rule 13a-14(a) and 15d-14(a) of the Securities Exchange Act of 1934, as amended (filed herewith)
11 unchanged sentences
Halozyme Therapeutics, Inc.
−Removed: May 7, 2024 /s/ Helen I.
+Added: August 6, 2024 /s/ Helen I.
Ch.B., M.R.C.P.
2 unchanged sentences
(Principal Executive Officer)
−Removed: May 7, 2024 /s/ Nicole LaBrosse
+Added: August 6, 2024 /s/ Nicole LaBrosse
Nicole LaBrosse
2 unchanged sentences
Compared sentence by sentence after normalising whitespace, quotation marks, case and digits, so re-formatting and restated figures do not read as changed language. Wording changes appear as one removal and one addition. The current filing and the prior one are authoritative.