Filing Details
- Accession Number:
- 0001438588-13-000069
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2013-06-12 16:13:48
- Reporting Period:
- 2013-06-11
- Filing Date:
- 2013-06-12
- Accepted Time:
- 2013-06-12 16:13:48
- 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 |
---|---|---|---|---|---|---|---|
1222790 | Phd Md J Patrick Scannon | C/O Xoma Corporation 2910 Seventh Street Berkeley CA 94710 | Exec. Vp & Cso | 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 | 2013-06-11 | 10,000 | $1.69 | 27,448 | No | 4 | M | Direct | |
Common Shares | Disposition | 2013-06-11 | 10,000 | $0.00 | 17,448 | No | 4 | S | Direct |
Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
---|---|---|---|---|
No | 4 | M | Direct | |
No | 4 | S | Direct |
Reported Derivative Transactions
Sec. Name | Sec. Type | Acquisiton - Disposition | Date | Amount | Price | Amount - 2 | Price - 2 |
---|---|---|---|---|---|---|---|
Common Shares | Incentive Share Option (right to buy) | Disposition | 2013-06-11 | 10,000 | $0.00 | 10,000 | $1.69 |
Remaning Holdings | Exercise Date | Expiration Date | Equity Swap Involved | Transaction Form Type | Transaction Code | Nature of Ownership |
---|---|---|---|---|---|---|
13,274 | 2021-10-27 | No | 4 | M | Direct |
Reported Non-Derivative Holdings
Sec. Name | Remaning Holdings | Nature of Ownership | Explanation |
---|---|---|---|
Common Shares | 20,339 | Indirect | by 401(k) |
Common Shares | 750 | Indirect | by Daughter |
Common Shares | 4,053 | Indirect | by Trust |
Footnotes
- This transaction was made pursuant to Rule 10b5-1 trading plan adopted by the reporting person on 3/20/2013.
- These shares were disposed of in multiple transactions at prices ranging from $4.00 to $4.08 for aggregate gross proceeds of $40,320.00, of which $16,900.00 was used to pay the option exercise price.
- Taken together, the Incentive Stock Option and Non-Qualified Stock Option granted on the same date are exercisable as to 70% of the options on grant date, with the remaining 30% vesting in monthly increments beginning 11/28/2011 and ending 10/28/2013.