- Accession Number:
- Form Type:
- Zero Holdings:
- Publication Time:
- 2020-12-15 19:12:35
- Reporting Period:
- Accepted Time:
- 2020-12-15 19:12:35
- SEC Url:
- Form 4 Filing
|Cik||Name||Symbol||Sector (SIC)||IRS No|
|791908||Xoma Corp||XOMA||Pharmaceutical Preparations (2834)||522154066|
|Cik||Name||Reported Address||Insider Title||Director||Officer||Large Shareholder||Other|
|1454337||D Matthew Perry||44 Montgomery Street |
San Francisco CA 94104
Reported Non-Derivative Transactions
|Sec. Name||Acquisiton - Disposition||Date||Amount||Price||Remaning Holdings||Equity Swap Involved||Form Type||Code||Nature of Ownership||Explanation|
|8.625% Series A Cumulative Perpetual Preferred Stock||Acquisiton||2020-12-11||200,000||$25.00||200,000||No||4||P||Direct|
|Equity Swap Involved||Form Type||Code||Nature of Ownership||Explanation|
Reported Non-Derivative Holdings
|Sec. Name||Remaning Holdings||Nature of Ownership||Explanation|
|Common Stock, $0.0075 Par Value Per Share||11,799||Direct|
Reported Derivative Holdings
|Sec. Name||Sec. Type||Price||Date||Expiration Date||Amount||Remaning Holdings||Nature of Ownership|
|Common Stock||Non-Qualified Stock Option (right to buy)||$21.27||2030-05-20||6,152||6,152||Direct|
|Common Stock||Non-Qualified Stock Option (right to buy)||$15.59||2029-05-16||8,167||8,167||Direct|
|Common Stock||Non-Qualified Stock Option (right to buy)||$25.16||2028-05-17||5,052||5,052||Direct|
|Common Stock||Non-Qualified Stock Option (right to buy)||$4.67||2027-03-02||15,222||15,222||Direct|
|Expiration Date||Amount||Remaning Holdings||Nature of Ownership|
- The Reporting Person may be deemed to be a member of a Section 13(d) group that may be deemed to collectively beneficially own more than 10% of the Issuer's outstanding shares of Common Stock.
- The shares subject to this option shall vest and become exercisable in equal monthly installments over the 12-month period following the date of grant (May 20, 2020), provided that the final installment will occur on the earlier of (i) the date of the next annual meeting of the Company's stockholders or (ii) the first anniversary of the date of grant of such option.
- All of the shares subject to this option vested and became exercisable in twelve equal monthly installments. As of May 16, 2020, these options are fully exercisable.
- These options were acquired pursuant to a grant of stock options under the Amended and Restated XOMA Corporation 2010 Long Term Incentive and Stock Award Plan (the "Plan") and were scheduled to vest and become exercisable on the one-year anniversary of the grant date of May 17, 2018. As of May 17, 2019, these options are fully exercisable.
- These options were acquired pursuant to the Plan, and were exercisable in twelve equal monthly installments, beginning one month from the vesting commencement date, which was February 15, 2017. As of February 15, 2018, these options are fully exercisable.
- Mr. Perry purchased 200,000 shares of the Issuer's 8.625% Series A Cumulative Perpetual Preferred Stock, par value $0.05 per share and liquidation preference of $25.00 per share (the "Series A Preferred Stock"), in the Issuer's public offering at the public offering price of $25.00 per share. The terms of the Series A Preferred Stock are set forth in the Certificate of Designation of the 8.625% Series A Cumulative Perpetual Preferred Stock of the Issuer (the "Certificate of Designation"). Investors in the Series A Preferred Stock generally will have no voting rights, but will have limited voting rights if the Issuer fails to pay dividends for six or more quarters (whether or not declared or consecutive) and in certain other events.