Filing Details
- Accession Number:
- 0000791908-13-000008
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2013-08-16 19:57:27
- Reporting Period:
- 2013-08-14
- Filing Date:
- 2013-08-16
- Accepted Time:
- 2013-08-16 19:57:27
- 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 | Disposition | 2013-08-14 | 51,647 | $3.86 | 8,432 | No | 4 | S | Direct | |
| Common Shares | Acquisiton | 2013-08-14 | 94,574 | $0.00 | 103,006 | No | 4 | M | Direct | |
| Common Shares | Acquisiton | 2013-08-15 | 10,000 | $1.24 | 113,006 | No | 4 | M | Direct | |
| Common Shares | Disposition | 2013-08-15 | 10,000 | $3.92 | 103,006 | No | 4 | S | Direct |
| Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|
| No | 4 | S | Direct | |
| No | 4 | M | 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 | 2013-08-15 | 10,000 | $1.24 | 10,000 | $1.24 |
| Common Shares | Restricted Stock Units | Disposition | 2013-08-14 | 94,574 | $0.00 | 94,574 | $0.00 |
| Remaning Holdings | Exercise Date | Expiration Date | Equity Swap Involved | Transaction Form Type | Transaction Code | Nature of Ownership |
|---|---|---|---|---|---|---|
| 290,392 | 2022-01-04 | No | 4 | M | Direct | |
| 189,147 | 2015-08-14 | No | 4 | M | Direct |
Reported Non-Derivative Holdings
| Sec. Name | Remaning Holdings | Nature of Ownership | Explanation |
|---|---|---|---|
| Common Shares | 13,797 | Indirect | by 401(k) |
Footnotes
- Non discretionary open market sale of shares to satisfy the minimum amount of taxes required to be withheld in connection with the vesting of Restricted Stock Units pursuant to the award.
- This transaction was executed in multiple trades ranging at prices from $3.86 to $3.94.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.
- This transaction was made pursuant to Rule 10b5-1 trading plan adopted by the reporting person on 3/20/2013.
- This transaction was executed in multiple trades ranging at prices from $3.85 to $3.97.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.
- Incentive Stock Option exercisable in conjunction with matching Non-Qualified Stock Option as to forty-eight (48) equal and consecutive monthly installments beginning one month after the date of grant.
- These restricted stock units are scheduled to vest in substantially equal installments annually over three years, with the first installment vesting on August 14, 2013.
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