Filing Details

Accession Number:
0001214659-20-009222
Form Type:
4
Zero Holdings:
No
Publication Time:
2020-11-06 17:20:14
Reporting Period:
2020-11-05
Accepted Time:
2020-11-06 17:20:14
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
1638479 M. Thomas Burns C/O Xoma Corporation
2200 Powell Street, Suite 310
Emeryville CA 94608
Svp, Finance & Cfo No No 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 2020-11-05 8,000 $4.03 14,555 No 4 M Direct
Common Stock Disposition 2020-11-05 7,274 $25.98 7,281 No 4 S Direct
Common Stock Disposition 2020-11-05 726 $27.50 6,555 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
Reported Derivative Transactions
Sec. Name Sec. Type Acquisiton - Disposition Date Amount Price Amount - 2 Price - 2
Common Stock Stock Option (Right to Buy) Disposition 2020-11-05 8,000 $0.00 8,000 $4.03
Remaning Holdings Exercise Date Expiration Date Equity Swap Involved Transaction Form Type Transaction Code Nature of Ownership
34,000 2027-02-10 No 4 M Direct
Reported Non-Derivative Holdings
Sec. Name Remaning Holdings Nature of Ownership Explanation
Common Stock 3,683 Indirect By 401(k) Plan
Footnotes
  1. The sales reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person.
  2. The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $25.6050 to $26.45, 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.
  3. Shares subject to this option have fully vested as of December 31, 2017.
  4. The increase in shares from the previous balance is due to a 401k Company Match contributed in XOMA stock on January 14, 2020.