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Filing Details

Accession Number:: 0000791908-14-000045
Form Type:: 4
Zero Holdings:: No
Publication Time:: 2014-03-20 15:38:32
Reporting Period:: 2014-03-18

Filing Date:: 2014-03-20
Accepted Time:: 2014-03-20 15:38:32
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
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

Show Other Fields >>

Sec. Name	Acquisiton - Disposition	Date	Amount	Price	Remaning Holdings	Equity Swap Involved	Form Type	Code	Nature of Ownership
Common Shares	Acquisiton	2014-03-18	12,142	$0.00	84,163	No	4	M	Direct
Common Shares	Disposition	2014-03-18	4,661	$6.32	79,502	No	4	S	Direct
Common Shares	Acquisiton	2014-03-18	18,205	$0.00	97,707	No	4	M	Direct
Common Shares	Disposition	2014-03-18	6,988	$6.32	90,719	No	4	S	Direct
Common Shares	Acquisiton	2014-03-18	6,000	$3.04	96,719	No	4	M	Direct
Common Shares	Disposition	2014-03-18	6,000	$6.31	90,719	No	4	S	Direct

Equity Swap Involved	Form Type	Code	Nature of Ownership
No	4	M	Direct
No	4	S	Direct
No	4	M	Direct
No	4	S	Direct
No	4	M	Direct
No	4	S	Direct

Reported Derivative Transactions

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Sec. Name	Sec. Type	Acquisiton - Disposition	Date	Amount	Price	Amount - 2	Price - 2
Common Shares	Incentive Share Option (right to buy)	Disposition	2014-03-18	6,000	$3.04	6,000	$3.04
Common Shares	Restricted Stock Units	Disposition	2014-03-18	12,142	$0.00	12,142	$0.00
Common Shares	Restricted Stock Units	Disposition	2014-03-18	18,205	$0.00	18,205	$0.00

Remaning Holdings	Exercise Date	Expiration Date	Equity Swap Involved	Transaction Form Type	Transaction Code	Nature of Ownership
92,040		2021-05-31	No	4	M	Direct
24,282	2014-03-18	2016-03-18	No	4	M	Direct
18,205	2014-03-18		No	4	M	Direct

Reported Non-Derivative Holdings

Sec. Name	Remaning Holdings	Nature of Ownership	Explanation
Common Shares	5,310	Indirect	by 401(k)

Footnotes

These restricted stock units were granted on February 28, 2013 and are scheduled to vest in substantially equal installments on each of March 18, 2014, March 18, 2015, and March 18, 2016.
Each restricted stock unit represents the right to receive, at settlement, one share of common stock. This nondiscretionary transaction represents the settlement of vested restricted stock units in shares of common stock.
Shares sold on the open market to satisfy the minimum amount of taxes required to be withheld in connection with the vesting of the shares in a non-discretionary transaction pursuant to the reporting person's agreement under the Company's equity incentive plan.
These restricted stock units are scheduled to vest in substantially equal installments annually over three years, with the first installment vesting on March 18, 2013.
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 $6.16 to $6.41.The price reported reflects the weighted average sale price. The reporting person hereby undertakes to provide upon request to the SEC staff, the Company or a security holder of the Company 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 (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.