Filing Details
- Accession Number:
- 0001438588-12-000056
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2012-11-15 10:01:59
- Reporting Period:
- 2012-11-13
- Filing Date:
- 2012-11-15
- Accepted Time:
- 2012-11-15 10:01:59
- SEC Url:
- Form 4 Filing
Issuer
| Cik | Name | Symbol | Sector (SIC) | IRS No |
|---|---|---|---|---|
| 791908 | Xoma Corp | XOMA | Pharmaceutical Preparations (2834) | 942756657 |
Insiders
| Cik | Name | Reported Address | Insider Title | Director | Officer | Large Shareholder | Other |
|---|---|---|---|---|---|---|---|
| 1416176 | John Varian | C/O Xoma Corporation 2910 Seventh Street Berkeley CA 94710 | Director And Ceo | Yes | Yes | 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 Shares | Acquisiton | 2012-11-13 | 4,499 | $0.00 | 4,499 | No | 4 | M | Direct | |
| Common Shares | Acquisiton | 2012-11-13 | 96,167 | $0.00 | 100,666 | No | 4 | M | Direct | |
| Common Shares | Disposition | 2012-11-14 | 1,814 | $2.56 | 98,852 | No | 4 | S | Direct | |
| Common Shares | Disposition | 2012-11-14 | 38,773 | $2.56 | 60,079 | No | 4 | S | Direct |
| Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|
| No | 4 | M | Direct | |
| 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 Shares | Restricted Stock Units | Disposition | 2012-11-13 | 4,499 | $0.00 | 4,499 | $0.00 |
| Common Shares | Restricted Stock Units | Disposition | 2012-11-13 | 96,167 | $0.00 | 96,167 | $0.00 |
| Remaning Holdings | Exercise Date | Expiration Date | Equity Swap Involved | Transaction Form Type | Transaction Code | Nature of Ownership |
|---|---|---|---|---|---|---|
| 297,496 | 2012-11-13 | No | 4 | M | Direct | |
| 201,329 | 2012-11-13 | No | 4 | M | Direct |
Reported Non-Derivative Holdings
| Sec. Name | Remaning Holdings | Nature of Ownership | Explanation |
|---|---|---|---|
| Common Shares | 9,342 | Indirect | by 401(k) |
Footnotes
- These restricted stock units were granted on October 27, 2011 and are scheduled to vest in substantially equal installments on each of November 13, 2012, November 13, 2013 and November 14, 2014.
- Each restricted stock unit represents the right to receive, at settlement, one share of common stock. This transaction represents the settlement of vested restricted stock units in shares of common stock.
- These restricted stock units were granted on January 4, 2012 and are scheduled to vest in substantially equal installments on each of November 13, 2012, November 13, 2013 and November 14, 2014.
- Shares sold in the open market to satisfy the minimum amount of taxes required to be withhold in connection with the vesting of the shares.
Billionaire Hedge Funds
