Filing Details

Accession Number:
0001210905-13-000002
Form Type:
4
Zero Holdings:
No
Publication Time:
2013-07-19 14:59:23
Reporting Period:
2013-07-18
Filing Date:
2013-07-19
Accepted Time:
2013-07-19 14:59:23
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 2013-07-18 2,748 $2.36 6,849 No 4 M Direct
Common Shares Disposition 2013-07-18 2,748 $4.71 4,101 No 4 S Direct
Common Shares Acquisiton 2013-07-18 3,252 $3.04 7,353 No 4 M Direct
Common Shares Disposition 2013-07-18 3,252 $4.71 4,101 No 4 S Direct
Equity Swap Involved Form Type Code Nature of Ownership Explanation
No 4 M Direct
No 4 S Direct
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 2013-07-18 3,252 $4.71 3,252 $3.04
Common Shares Non-Qualified Share Option (right to buy) Disposition 2013-07-18 2,748 $4.71 2,748 $2.36
Remaning Holdings Exercise Date Expiration Date Equity Swap Involved Transaction Form Type Transaction Code Nature of Ownership
120,430 2021-05-31 No 4 M Direct
17,937 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
  1. This transaction was made pursuant to Rule 10b5-1 trading plan adopted by the reporting person on 3/20/2013.
  2. This transaction was executed in multiple trades ranging at prices from $4.62 to $4.85.The price reported reflects the weighted average sale price. The reporting person hereby undertakes to provide upon request to the SEC staff, the Issuer or a security holder of the Issuer full information regarding the number of shares and prices at which the transactions were effected.
  3. Incentive Stock Option exercisable in conjunction with matching Non-Qualified Stock Option as to (a) 25% of the option shares upon the first anniversary of the date of grant, and (b) the remaining 75% of the option shares in thirty-six (36) equal and consecutive monthly installments beginning one year and one month after the date of grant.
  4. Exercisable with respect to 1/48th of options in monthly increments beginning 6/24/2012 and ending 5/24/2016.