HALO: 13D/A Filed by Randall Kirk

FYI, Kirk is Chmn and CEO of XON. A younger version of Frost; $3.3B.

This Amendment No. 9 (the “Amendment”) amends and supplements the Statement on Schedule 13D, dated May 15, 2007 and filed on May 24, 2007, as amended by Amendment No. 1 dated May 30, 2007 and filed on June 5, 2007, Amendment No. 2 dated March 19, 2008 and filed on March 24, 2008, Amendment No. 3 dated June 23, 2008 and filed on July 2, 2008, Amendment No. 4 dated August 10, 2011 and filed on August 17, 2011, Amendment No. 5 dated February 10, 2012 and filed on February 13, 2012, Amendment No. 6 dated June 1, 2012 and filed on June 6, 2012, Amendment No. 7 dated May 31, 2016 and filed June 2, 2016, and Amendment No. 8 dated July 24, 2017 and filed on July 26, 2017 (the “Original Schedule 13D”), relating to the Common Stock, par value $0.001 per share (the “Common Stock”), of Halozyme Therapeutics, Inc., a Delaware corporation (the “Company”).  Mr. Randal J. Kirk (“Mr. Kirk”) and Third Security, LLC, a Virginia limited liability company that is controlled by Mr. Kirk (“Third Security” and together with Mr. Kirk, the “Reporting Persons”) and are filing this Amendment to disclose the sale of an aggregate of 1,670,024 shares of Common Stock held by the R.J. Kirk Declaration of Trust (the “RJ DOT”), a Florida trust for which Mr. Kirk is the trustee, and Kapital Joe, LLC (“Kapital Joe”), a Virginia limited liability company that is managed by Third Security, in open market transactions between June 27, 2018 and August 16, 2018.  Mr. Kirk could be deemed to have indirect beneficial ownership of the shares of Common Stock directly beneficially owned by the RJ DOT and Kapital Joe.


Except as set forth below, there are no changes to the information set forth in the Original Schedule 13D.


Item 4.

Purpose of Transaction.

Item 4 of the Original Schedule 13D is hereby amended and supplemented as follows:

The Reporting Persons are filing this Amendment to disclose the sale of 677,633 shares of Common Stock held by the RJ DOT, in open market transactions between June 27, 2018 and August 16, 2018, for aggregate net proceeds of approximately $11,695,516.  Additionally, the Reporting Persons are filing this Amendment to disclose the sale of 992,391 shares of Common Stock held by Kapital Joe, in open market transactions between June 27, 2018 and August 16, 2018, for aggregate net proceeds of approximately $17,128,111.  Pursuant to a joint selling program, the RJ DOT and Kapital Joe sold these shares on a pro rata basis.

Item 5.

Interest in Securities of the Issuer.

Item 5(a) of the Original Schedule 13D is hereby amended and restated to read in its entirety as follows:

(a) and (b)          See items 11 and 13 of the cover pages to this Statement for the aggregate number of shares and percentage of issued and outstanding shares of Common Stock of the Company owned by the Reporting Persons. The percentage ownership is calculated based on 144,304,240 shares of Common Stock issued and outstanding as of July 31, 2018 as disclosed in the Company’s Quarterly Report on Form 10-Q for the period ended June 30, 2018 and filed on August 7, 2018.

Amendment No. 9 (the “Amendment”) amends and supplements the Statement on Schedule 13D, dated May 15, 2007 and filed on May 24, 2007, as amended by Amendment No. 1 dated May 30, 2007 and filed on June 5, 2007, Amendment No. 2 dated March 19, 2008 and filed on March 24, 2008, Amendment No. 3 dated June 23, 2008 and filed on July 2, 2008, Amendment No. 4 dated August 10, 2011 and filed on August 17, 2011, Amendment No. 5 dated February 10, 2012 and filed on February 13, 2012, Amendment No. 6 dated June 1, 2012 and filed on June 6, 2012, Amendment No. 7 dated May 31, 2016 and filed June 2, 2016, and Amendment No. 8 dated July 24, 2017 and filed on July 26, 2017 (the “Original Schedule 13D”), relating to the Common Stock, par value $0.001 per share (the “Common Stock”), of Halozyme Therapeutics, Inc., a Delaware corporation (the “Company”).  Mr. Randal J. Kirk (“Mr. Kirk”) and Third Security, LLC, a Virginia limited liability company that is controlled by Mr. Kirk (“Third Security” and together with Mr. Kirk, the “Reporting Persons”) and are filing this Amendment to disclose the sale of an aggregate of 1,670,024 shares of Common Stock held by the R.J. Kirk Declaration of Trust (the “RJ DOT”), a Florida trust for which Mr. Kirk is the trustee, and Kapital Joe, LLC (“Kapital Joe”), a Virginia limited liability company that is managed by Third Security, in open market transactions between June 27, 2018 and August 16, 2018.  Mr. Kirk could be deemed to have indirect beneficial ownership of the shares of Common Stock directly beneficially owned by the RJ DOT and Kapital Joe.


Except as set forth below, there are no changes to the information set forth in the Original Schedule 13D.

Randall Kirk

  15,922,747

PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11)
  11.0%

Third Security

AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
  7,658,890

PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11)
  5.3%