Filing Details

Accession Number:
0000791908-14-000047
Form Type:
4
Zero Holdings:
No
Publication Time:
2014-03-20 15:38:50
Reporting Period:
2014-03-18
Filing Date:
2014-03-20
Accepted Time:
2014-03-20 15:38:50
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
1572521 Thomas Klein C/o Xoma Corporation
2910 Seventh Street
Berkeley CA 94710
Chief Commercial Officer 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 2014-03-18 667 $0.00 44,115 No 4 M Direct
Common Shares Disposition 2014-03-18 257 $6.32 43,858 No 4 S Direct
Common Shares Acquisiton 2014-03-18 80,000 $0.00 123,858 No 4 M Direct
Common Shares Disposition 2014-03-18 30,708 $6.32 93,150 No 4 S Direct
Equity Swap Involved Form Type Code Nature of Ownership Explanation
No 4 M Direct
No 4 S Direct
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 Restricted Stock Units Disposition 2014-03-18 667 $0.00 667 $0.00
Common Shares Restricted Stock Units Disposition 2014-03-18 80,000 $0.00 80,000 $0.00
Remaning Holdings Exercise Date Expiration Date Equity Swap Involved Transaction Form Type Transaction Code Nature of Ownership
241,333 2014-03-18 2016-03-18 No 4 M Direct
161,333 2014-03-18 2016-03-18 No 4 M Direct
Reported Non-Derivative Holdings
Sec. Name Remaning Holdings Nature of Ownership Explanation
Common Shares 1,659 Indirect by 401(k)
Footnotes
  1. These restricted stock units were granted on March 23, 2013 and are scheduled to vest in substantially equal installments on each of March 18, 2014, March 18, 2015, and March 18, 2016.
  2. Each restricted stock unit represents the right to receive, at settlement, one share of common stock. This nondiscretionary transaction represents the settlement of vested restricted stock units in shares of common stock.
  3. Shares sold on the open market to satisfy the minimum amount of taxes required to be withheld in connection with the vesting of the shares in a non-discretionary transaction pursuant to the reporting person's agreement under the Company's equity incentive plan.
  4. These restricted stock units were granted on March 18, 2013 and are scheduled to vest in substantially equal installments on each of March 18, 2014, March 18, 2015, and March 18, 2016.