Filing Details

Accession Number:
0001214659-22-008950
Form Type:
4
Zero Holdings:
No
Publication Time:
2022-07-18 16:30:18
Reporting Period:
2022-07-15
Accepted Time:
2022-07-18 16:30:18
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 2022-07-15 25,000 $4.03 36,822 No 4 M Direct
Common Stock Disposition 2022-07-15 20,883 $29.55 15,939 No 4 S Direct
Common Stock Disposition 2022-07-15 3,212 $31.19 12,727 No 4 S Direct
Common Stock Disposition 2022-07-15 905 $31.86 11,822 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 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 2022-07-15 25,000 $0.00 25,000 $4.03
Remaning Holdings Exercise Date Expiration Date Equity Swap Involved Transaction Form Type Transaction Code Nature of Ownership
218,056 2027-02-10 No 4 M Direct
Reported Non-Derivative Holdings
Sec. Name Remaning Holdings Nature of Ownership Explanation
Common Stock 5,560 Indirect By 401(k) Plan
Depositary Shares - 8.375% B Cumulative Stock 8,000 Indirect By spouse
8.625% Series A Cumulative Perpetual Preferred Stock 8,000 Indirect By spouse
Footnotes
  1. The sales reported on this Form 4 were effected pursuant to a trading plan adopted by the reporting person pursuant to Rule 10b5-1 under the Securities Exchange Act of 1934, as amended.
  2. The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $29.25 to $30.04, 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 $30.53 to $31.52, 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 $31.53 to $32.00, 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 have fully vested as of February 10, 2020.