Filing Details

Accession Number:
0001214659-20-010509
Form Type:
4
Zero Holdings:
No
Publication Time:
2020-12-17 16:30:23
Reporting Period:
2020-12-15
Accepted Time:
2020-12-17 16:30:23
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 2020-12-15 26,000 $5.50 46,849 No 4 M Direct
Common Stock Disposition 2020-12-15 20,294 $41.15 26,555 No 4 S Direct
Common Stock Disposition 2020-12-15 5,706 $42.04 20,849 No 4 S Direct
8.625% Series A Cumulative Perpetual Preferred Stock Acquisiton 2020-12-15 8,000 $25.00 8,000 No 4 A Indirect By spouse
Equity Swap Involved Form Type Code Nature of Ownership Explanation
No 4 M Direct
No 4 S Direct
No 4 S Direct
No 4 A Indirect By spouse
Reported Derivative Transactions
Sec. Name Sec. Type Acquisiton - Disposition Date Amount Price Amount - 2 Price - 2
Common Stock Stock Option (Right to Buy) Disposition 2020-12-15 26,000 $0.00 26,000 $5.50
Remaning Holdings Exercise Date Expiration Date Equity Swap Involved Transaction Form Type Transaction Code Nature of Ownership
0 2017-12-22 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 $40.9650 to $41.96, 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 $41.98 to $42.10, 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. Purchased 8,000 shares of the Issuer's 8.625% Series A Cumulative Perpetual Preferred Stock, with 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. Holders of 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.
  5. Shares subject to this option fully vested on February 21, 2017.