Filing Details
- Accession Number:
- 0000791908-13-000043
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2013-12-03 16:22:32
- Reporting Period:
- 2013-12-02
- Filing Date:
- 2013-12-03
- Accepted Time:
- 2013-12-03 16:22:32
- 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 | 2013-12-02 | 3,335 | $1.69 | 45,352 | No | 4 | M | Direct | |
| Common Shares | Disposition | 2013-12-02 | 3,335 | $6.00 | 42,017 | No | 4 | S | Direct | |
| Common Shares | Acquisiton | 2013-12-02 | 16,665 | $1.69 | 58,682 | No | 4 | M | Direct | |
| Common Shares | Disposition | 2013-12-02 | 16,665 | $6.00 | 42,017 | 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 | 2013-12-02 | 3,335 | $1.69 | 3,335 | $1.69 |
| Common Shares | Non-Qualified Share Option (right to buy) | Disposition | 2013-12-02 | 16,665 | $1.69 | 16,665 | $1.69 |
| Remaning Holdings | Exercise Date | Expiration Date | Equity Swap Involved | Transaction Form Type | Transaction Code | Nature of Ownership |
|---|---|---|---|---|---|---|
| 9,939 | 2013-10-28 | 2021-10-27 | No | 4 | M | Direct |
| 38,406 | 2013-10-28 | 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.
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