Filing Details
- Accession Number:
- 0001438588-13-000037
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2013-05-21 19:24:00
- Reporting Period:
- 2013-05-20
- Filing Date:
- 2013-05-21
- Accepted Time:
- 2013-05-21 19:24:00
- 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 |
|---|---|---|---|---|---|---|---|
| 1210905 | D Paul Rubin | C/O Xoma Corporation 2910 Seventh Street Berkeley CA 94710 | Sr. Vp Clinical Dev. & Cmo | No | 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 | 2013-05-20 | 785 | $2.36 | 9,534 | No | 4 | M | Direct | |
| Common Shares | Disposition | 2013-05-20 | 785 | $4.16 | 8,749 | No | 4 | S | Direct | |
| Common Shares | Disposition | 2013-05-20 | 5,215 | $0.00 | 3,534 | 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 |
Reported Derivative Transactions
| Sec. Name | Sec. Type | Acquisiton - Disposition | Date | Amount | Price | Amount - 2 | Price - 2 |
|---|---|---|---|---|---|---|---|
| Common Shares | Non-Qualified Share Option (right to buy) | Disposition | 2013-05-20 | 785 | $4.16 | 785 | $2.36 |
| Remaning Holdings | Exercise Date | Expiration Date | Equity Swap Involved | Transaction Form Type | Transaction Code | Nature of Ownership |
|---|---|---|---|---|---|---|
| 23,815 | 2022-05-24 | No | 4 | M | Direct |
Reported Non-Derivative Holdings
| Sec. Name | Remaning Holdings | Nature of Ownership | Explanation |
|---|---|---|---|
| Common Shares | 4,422 | Indirect | by 401(k) |
Footnotes
- This transaction was made pursuant to Rule 10b5-1 trading plan adopted by the reporting person on March 20, 2013.
- These shares were disposed of in multiple transactions at prices ranging from $4.14 to $4.29 for aggregate gross proceeds of $25,274.00
- Exercisable with respect to 1/48th of options in monthly increments beginning 6/24/2012 and ending 5/24/2016.
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