HALOZYME THERAPEUTICS, INC. 10-Q

Item 5. Other Information During the three months ended September 30, 2024, the following director and officer each adopted a 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. Trading Arrangement Name and Title Action Date Rule 10b5-1* Non-Rule 10b5-1** Total Shares To Be Sold Expiration Date Jeffrey W. Henderson Adoption 9/17/2024 X 25,000 The earlier of 04/30/2025 or date all shares are sold Director (Board Chair) Michael J. LaBarre Adoption 9/18/2024 X 40,000 The earlier of 08/27/2025 or date all shares are sold Senior Vice President and Chief Technical Officer * Contract, instruction or written plan intended to satisfy the affirmative defense conditions of Rule 10b5-1(c) under the Exchange Act. ** Non-Rule 10b5-1 trading arrangement as defined in Item 408(c) of Regulation S-K under the Exchange Act. 55 Item 6. Exhibits 3.1 Amended and Restated Certificate of Incorporation of Halozyme Therapeutics, Inc. (filed as Exhibit 3.1 to the Company’s Form 8-K filed April 26, 2024 and incorporated herein by reference) 3.2 Bylaws, as amended (filed as Exhibit 3.1 to the Company’s Form 8-K filed December 10, 2021 and incorporated herein by reference) 4.1 Indenture, dated March 1, 2021, between Halozyme Therapeutics, Inc. and The Bank of New York Mellon Trust Company, N.A., as trustee ( filed as Exhibit 4.1 to the Company’s Form 8-K filed March 1, 2021 and incorporated herein by reference ) 4.2 Form of Note, dated March 1, 2021, between Halozyme Therapeutics, Inc. and The Bank of New York Mellon Trust Company, N.A., as trustee, ( filed as Exhibit 4.2 to the Company’s Form 8-K filed March 1, 2021 and incorporated herein by reference ) 4.3 Indenture, dated August 18, 2022, between Halozyme Therapeutics, Inc. and The Bank of New York Mellon Trust Company, N.A., as trustee, ( filed as Exhibit 4.1 to the Company’s Form 8-K filed August 18, 2022 and incorporated herein by reference ) 4.4 Form of Note, dated August 18, 2022, between Halozyme Therapeutics, Inc. 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 ) 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) 31.2 Certification of Chief Financial Officer pursuant to Rule 13a-14(a) and 15d-14(a) of the Securities Exchange Act of 1934, as amended (filed herewith) 32 Certification of Chief Executive Officer and Chief Financial Officer pursuant to 18 U.S.C. 1350, as adopted pursuant to Section 906 of the Sarbanes-Oxley Act of 2002 (furnished herewith) 101.INS Instance Document - the instance document does not appear in the interactive Data File because its XBRL tags are embedded within the Inline XBRL document (filed herewith) 101.SCH Inline Taxonomy Extension Schema Document (filed herewith) 101.CAL Inline Taxonomy Extension Calculation Linkbase Document (filed herewith) 101.DEF Inline Taxonomy Extension Definition Linkbase Document (filed herewith) 101.LAB Inline Taxonomy Extension Label Linkbase Document (filed herewith) 101.PRE Inline Taxonomy Extension Presentation Linkbase Document (filed herewith) 104 Cover Page Interactive Data File (formatted as inline XBRL and contained in Exhibit 101) (filed herewith) 56 SIGNATURES Pursuant to the requirements of the Securities Exchange Act of 1934, the registrant has duly caused this report to be signed on its behalf by the undersigned thereunto duly authorized. Halozyme Therapeutics, Inc. (Registrant) Dated: October 31, 2024 /s/ Helen I. Torley, M.B. Ch.B., M.R.C.P. Helen I. Torley, M.B. Ch.B., M.R.C.P. President and Chief Executive Officer (Principal Executive Officer) Dated: October 31, 2024 /s/ Nicole LaBrosse Nicole LaBrosse Senior Vice President and Chief Financial Officer (Principal Financial and Accounting Officer) 57