[144] Halozyme Therapeutics, Inc. SEC Filing

Rhea-AI Filing Summary

Halozyme Therapeutics (HALO) notice reports a proposed sale of 8,829 shares of common stock through Morgan Stanley Smith Barney LLC on 09/02/2025 on the NASDAQ. The shares were originally acquired as Restricted Stock Units from the issuer on 04/30/2021. The filing shows an aggregate market value of $645,841.35 for the shares and lists 116,966,000 shares outstanding for the issuer. No other sales in the past three months are reported, and the filer affirms they are not aware of undisclosed material adverse information.

Positive

• Clear acquisition history: the shares were acquired as Restricted Stock Units on 04/30/2021
• Broker identified: sale to be handled by Morgan Stanley Smith Barney LLC on NASDAQ
• No recent sales reported in the past three months for the selling person

Negative

• Reduction in insider-held shares: proposed sale will reduce the seller's holdings by 8,829 shares
• No Rule 10b5-1 plan date provided in the remarks, so no documented pre-established trading plan is shown

Insights

Securities Analyst

TL;DR: Insider plans to sell 8,829 RSU-derived shares; transaction size is very small relative to total shares outstanding.

The filing documents a proposed sale of 8,829 common shares with an aggregate market value of $645,841.35, to be executed via Morgan Stanley Smith Barney on NASDAQ. These shares were acquired as restricted stock units on 04/30/2021 and no other sales by the person are reported in the past three months. Compared with the reported 116,966,000 shares outstanding, the proposed sale represents a de minimis percentage of the company stock, implying limited direct market impact.

Corporate Governance Expert

TL;DR: The notice is a routine disclosure of an intended sale by a person holding RSUs; it includes the standard attestation about material information.

The form contains required elements: issuer identity, broker (Morgan Stanley Smith Barney LLC), class (common), amount (8,829), acquisition detail (RSUs on 04/30/2021), and the attestation that the seller is unaware of undisclosed material adverse information. No plan-adoption date or Rule 10b5-1 instruction is provided in the remarks section. Documentation appears to meet Rule 144 notice requirements for a proposed sale.

Form 144 Filer Information	UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Form 144 NOTICE OF PROPOSED SALE OF SECURITIES PURSUANT TO RULE 144 UNDER THE SECURITIES ACT OF 1933
FORM 144

144: Filer Information

Filer CIK
Filer CCC
Is this a LIVE or TEST Filing?	LIVE TEST
Submission Contact Information
Name
Phone
E-Mail Address

144: Issuer Information

Name of Issuer

SEC File Number

Address of Issuer

Phone

Name of Person for Whose Account the Securities are To Be Sold

See the definition of "person" in paragraph (a) of Rule 144. Information is to be given not only as to the person for whose account the securities are to be sold but also as to all other persons included in that definition. In addition, information shall be given as to sales by all persons whose sales are required by paragraph (e) of Rule 144 to be aggregated with sales for the account of the person filing this notice.

Relationship to Issuer

144: Securities Information

Title of the Class of Securities To Be Sold	Name and Address of the Broker	Number of Shares or Other Units To Be Sold	Aggregate Market Value	Number of Shares or Other Units Outstanding	Approximate Date of Sale	Name the Securities Exchange
Common	Morgan Stanley Smith Barney LLC Executive Financial Services 1 New York Plaza 8th Floor New York NY 10004	8829	645841.35	116966000	09/02/2025	NASDAQ

Furnish the following information with respect to the acquisition of the securities to be sold and with respect to the payment of all or any part of the purchase price or other consideration therefor:

144: Securities To Be Sold

Title of the Class	Date you Acquired	Nature of Acquisition Transaction	Name of Person from Whom Acquired	Is this a Gift?	Date Donor Acquired	Amount of Securities Acquired	Date of Payment	Nature of Payment *
Common	04/30/2021	Restricted Stock Units	Issuer			8829	04/30/2021	N/A

* If the securities were purchased and full payment therefor was not made in cash at the time of purchase, explain in the table or in a note thereto the nature of the consideration given. If the consideration consisted of any note or other obligation, or if payment was made in installments describe the arrangement and state when the note or other obligation was discharged in full or the last installment paid.

Furnish the following information as to all securities of the issuer sold during the past 3 months by the person for whose account the securities are to be sold.

144: Securities Sold During The Past 3 Months

Nothing to Report

144: Remarks and Signature

Remarks

Date of Notice

Date of Plan Adoption or Giving of Instruction, If Relying on Rule 10b5-1

ATTENTION:

The person for whose account the securities to which this notice relates are to be sold hereby represents by signing this notice that he does not know any material adverse information in regard to the current and prospective operations of the Issuer of the securities to be sold which has not been publicly disclosed. If such person has adopted a written trading plan or given trading instructions to satisfy Rule 10b5-1 under the Exchange Act, by signing the form and indicating the date that the plan was adopted or the instruction given, that person makes such representation as of the plan adoption or instruction date.

Signature

ATTENTION: Intentional misstatements or omission of facts constitute Federal Criminal Violations (See 18 U.S.C. 1001)

FAQ

How many HALO shares are proposed for sale in this Form 144?

The filing states 8,829 shares of common stock are proposed to be sold.

What is the aggregate market value of the HALO shares to be sold?

The aggregate market value reported is $645,841.35.

When were the shares acquired and by what means?

The shares were acquired on 04/30/2021 as Restricted Stock Units from the issuer.

Through which broker and exchange will the HALO shares be sold?

The broker is Morgan Stanley Smith Barney LLC and the sale is to occur on the NASDAQ.

Does the filing report any other sales by this person in the past three months?

The filing indicates Nothing to Report for securities sold during the past three months.

How large is the proposed sale relative to HALO's outstanding shares?

The filing lists 116,966,000 shares outstanding; the proposed sale is 8,829 shares as reported.