Filing Details

Accession Number:
0000791908-14-000158
Form Type:
4
Zero Holdings:
No
Publication Time:
2014-11-21 14:46:38
Reporting Period:
2014-11-20
Filing Date:
2014-11-21
Accepted Time:
2014-11-21 14:46:38
SEC Url:
Form 4 Filing
Issuer
Cik Name Symbol Sector (SIC) IRS No
791908 Xoma Corp XOMA Pharmaceutical Preparations (2834) 942756657
Insiders
Cik Name Reported Address Insider Title Director Officer Large Shareholder Other
1210905 D Paul Rubin C/O Xoma Corporation
2910 Seventh Street
Berkeley CA 94710
Sr. Vp Clinical Dev. & Cmo No Yes No No
Reported Non-Derivative Transactions
Sec. Name Acquisiton - Disposition Date Amount Price Remaning Holdings Equity Swap Involved Form Type Code Nature of Ownership Explanation
Common Shares Acquisiton 2014-11-20 5,000 $3.04 77,021 No 4 M Direct
Common Shares Disposition 2014-11-20 5,000 $4.55 72,021 No 4 S Direct
Equity Swap Involved Form Type Code Nature of Ownership Explanation
No 4 M Direct
No 4 S Direct
Reported Derivative Transactions
Sec. Name Sec. Type Acquisiton - Disposition Date Amount Price Amount - 2 Price - 2
Common Shares Incentive Share Option (right to buy) Disposition 2014-11-20 5,000 $3.04 5,000 $3.04
Remaning Holdings Exercise Date Expiration Date Equity Swap Involved Transaction Form Type Transaction Code Nature of Ownership
72,040 2021-05-31 No 4 M Direct
Reported Non-Derivative Holdings
Sec. Name Remaning Holdings Nature of Ownership Explanation
Common Shares 5,310 Indirect by 401(k)
Footnotes
  1. This transaction was made pursuant to Rule 10b5-1 trading plan adopted by the reporting person on May 13, 2014.
  2. Incentive Stock Option exercisable in conjunction with matching Non-Qualified Stock Option as to (a) 25% of the option shares upon the first anniversary of the date of grant, and (b) the remaining 75% of the option shares in thirty-six (36) equal and consecutive monthly installments beginning one year and one month after the date of grant.