Filing Details
- Accession Number:
- 0001209191-19-050393
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2019-09-20 19:40:41
- Reporting Period:
- 2019-09-18
- Accepted Time:
- 2019-09-20 19:40:41
- 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 | Chief Executive Officer | 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 Stock | Acquisiton | 2019-09-18 | 3,830 | $5.50 | 21,499 | No | 4 | M | Direct | |
| Common Stock | Disposition | 2019-09-18 | 3,830 | $21.96 | 17,669 | No | 4 | S | Direct | |
| Common Stock | Acquisiton | 2019-09-19 | 6,370 | $5.50 | 24,039 | No | 4 | M | Direct | |
| Common Stock | Disposition | 2019-09-19 | 3,728 | $20.69 | 20,311 | No | 4 | S | Direct | |
| Common Stock | Disposition | 2019-09-19 | 2,642 | $21.73 | 17,669 | No | 4 | S | Direct | |
| Common Stock | Acquisiton | 2019-09-20 | 5,452 | $5.50 | 23,121 | No | 4 | M | Direct | |
| Common Stock | Disposition | 2019-09-20 | 5,452 | $20.23 | 17,669 | 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 | |
| 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 Stock | Stock Option (right to buy) | Disposition | 2019-09-18 | 3,830 | $0.00 | 3,830 | $5.50 |
| Common Stock | Stock Option (right to buy) | Disposition | 2019-09-19 | 6,370 | $0.00 | 6,370 | $5.50 |
| Common Stock | Stock Option (right to buy) | Disposition | 2019-09-20 | 5,452 | $0.00 | 5,452 | $5.50 |
| Remaning Holdings | Exercise Date | Expiration Date | Equity Swap Involved | Transaction Form Type | Transaction Code | Nature of Ownership |
|---|---|---|---|---|---|---|
| 72,170 | 2017-12-21 | 2026-12-22 | No | 4 | M | Direct |
| 65,800 | 2017-12-21 | 2026-12-22 | No | 4 | M | Direct |
| 60,348 | 2017-12-21 | 2026-12-22 | No | 4 | M | Direct |
Reported Non-Derivative Holdings
| Sec. Name | Remaning Holdings | Nature of Ownership | Explanation |
|---|---|---|---|
| Common Stock | 4,202 | Indirect | By 401(k) |
Footnotes
- The reporting person's Form 3 and certain of his subsequent Form 4s contained an inadvertent error in the number of shares directly owned reported in Column 5. The number of shares reported in Column 5 of this Form 4 has been adjusted to correct that error.
- The sales reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person.
- The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $21.85 to $22.00, 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.
- The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $20.52 to $21.40, 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.
- The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $21.6350 to $21.9750, 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.
- The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $20.00 to $20.7150, 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
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