Filing Details

Accession Number:
0001214659-20-009865
Form Type:
4
Zero Holdings:
No
Publication Time:
2020-11-24 16:30:17
Reporting Period:
2020-11-20
Accepted Time:
2020-11-24 16:30:17
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 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 2020-11-20 6,874 $5.50 27,723 No 4 M Direct
Common Stock Disposition 2020-11-20 6,448 $32.46 21,275 No 4 S Direct
Common Stock Disposition 2020-11-20 426 $33.35 20,849 No 4 S Direct
Common Stock Acquisiton 2020-11-23 13,126 $5.50 33,975 No 4 M Direct
Common Stock Disposition 2020-11-23 13,126 $32.96 20,849 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
Reported Derivative Transactions
Sec. Name Sec. Type Acquisiton - Disposition Date Amount Price Amount - 2 Price - 2
Common Stock Stock Option (Right to Buy) Disposition 2020-11-20 6,874 $0.00 6,874 $5.50
Common Stock Stock Option (Right to Buy) Disposition 2020-11-23 13,126 $0.00 13,126 $5.50
Remaning Holdings Exercise Date Expiration Date Equity Swap Involved Transaction Form Type Transaction Code Nature of Ownership
39,126 2026-12-22 No 4 M Direct
26,000 2026-12-22 No 4 M Direct
Reported Non-Derivative Holdings
Sec. Name Remaning Holdings Nature of Ownership Explanation
Common Stock 4,673 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 $32.00 to $32.77, 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. The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $33.24 to $34.00, 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.
  4. The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $32.25 to $33.00, 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.
  5. Shares subject to this option fully vested on February 21, 2017.