Filing Details

Accession Number:
0001190725-17-000155
Form Type:
4
Zero Holdings:
No
Publication Time:
2017-11-15 20:03:40
Reporting Period:
2017-11-13
Accepted Time:
2017-11-15 20:03:40
SEC Url:
Form 4 Filing
Issuer
Cik Name Symbol Sector (SIC) IRS No
791908 Xoma Corp XOMA Pharmaceutical Preparations (2834) 522154066
Insiders
Cik Name Reported Address Insider Title Director Officer Large Shareholder Other
1600865 R James Neal C/O Xoma Corporation
2200 Powell Street, Suite 310
Emeryville CA 94608
Ceo Yes 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 2017-11-13 11,568 $4.03 27,901 No 4 M Direct
Common Shares Disposition 2017-11-13 11,084 $30.79 16,817 No 4 S Direct
Common Shares Disposition 2017-11-13 484 $31.77 16,333 No 4 S Direct
Common Shares Acquisiton 2017-11-14 8,583 $4.03 24,916 No 4 M Direct
Common Shares Disposition 2017-11-14 3,519 $27.13 21,397 No 4 S Direct
Common Shares Disposition 2017-11-14 3,564 $29.05 17,833 No 4 S Direct
Common Shares Disposition 2017-11-14 900 $29.42 16,933 No 4 S Direct
Common Shares Disposition 2017-11-14 600 $30.45 16,333 No 4 S Direct
Common Shares Acquisiton 2017-11-15 26,145 $4.03 42,478 No 4 M Direct
Common Shares Disposition 2017-11-15 23,945 $27.00 18,533 No 4 S Direct
Common Shares Disposition 2017-11-15 2,200 $27.44 16,333 No 4 S Direct
Equity Swap Involved Form Type Code Nature of Ownership Explanation
No 4 M Direct
No 4 S Direct
No 4 S Direct
No 4 M Direct
No 4 S Direct
No 4 S Direct
No 4 S Direct
No 4 S Direct
No 4 M Direct
No 4 S Direct
No 4 S Direct
Reported Derivative Transactions
Sec. Name Sec. Type Acquisiton - Disposition Date Amount Price Amount - 2 Price - 2
Common Shares Non-Qualified Share Option (right to buy) Disposition 2017-11-13 11,568 $0.00 11,568 $4.03
Common Shares Non-Qualified Share Option (right to buy) Disposition 2017-11-14 8,583 $0.00 8,583 $4.03
Common Shares Non-Qualified Share Option (right to buy) Disposition 2017-11-15 26,145 $0.00 26,145 $4.03
Remaning Holdings Exercise Date Expiration Date Equity Swap Involved Transaction Form Type Transaction Code Nature of Ownership
300,932 2027-02-10 No 4 M Direct
292,349 2027-02-10 No 4 M Direct
266,204 2027-02-10 No 4 M Direct
Reported Non-Derivative Holdings
Sec. Name Remaning Holdings Nature of Ownership Explanation
Common Shares 2,961 Indirect by 401(k)
Footnotes
  1. Includes 967 shares acquired by the Reporting Person under the Issuer's 2015 Employee Stock Purchase Plan on May 31, 2017.
  2. The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $30.50 to $31.40, inclusive. The reporting person undertakes to provideto the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range.
  3. The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $31.72 to $31.93, inclusive. The reporting person undertakes to provideto the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range.
  4. The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $27.00 to $27.97, inclusive. The reporting person undertakes to provideto the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range.
  5. The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $28.27 to $29.17, inclusive. The reporting person undertakes to provideto the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range.
  6. The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $29.29 to $29.51, inclusive. The reporting person undertakes to provideto the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range.
  7. The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $30.33 to $30.58, inclusive. The reporting person undertakes to provideto the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within therange.
  8. The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $26.34 to $27.33, inclusive. The reporting person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range.
  9. The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $27.35 to $27.50, inclusive. The reporting person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range.
  10. Shares subject to this option shall vest in equal monthly installments over three years from the grant date.