Filing Details
- Accession Number:
- 0000791908-14-000106
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2014-08-19 13:47:19
- Reporting Period:
- 2014-08-14
- Filing Date:
- 2014-08-19
- Accepted Time:
- 2014-08-19 12:47:19
- 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 | 2014-08-14 | 26,748 | $0.00 | 98,769 | No | 4 | M | Direct | |
Common Shares | Disposition | 2014-08-15 | 10,299 | $4.31 | 88,470 | No | 4 | S | Direct | |
Common Shares | Disposition | 2014-08-18 | 16,449 | $4.36 | 72,021 | No | 4 | S | Direct |
Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
---|---|---|---|---|
No | 4 | M | Direct | |
No | 4 | S | Direct | |
No | 4 | S | Direct |
Reported Derivative Transactions
Sec. Name | Sec. Type | Acquisiton - Disposition | Date | Amount | Price | Amount - 2 | Price - 2 |
---|---|---|---|---|---|---|---|
Common Shares | Restricted Stock Units | Disposition | 2014-08-14 | 26,748 | $0.00 | 26,748 | $0.00 |
Remaning Holdings | Exercise Date | Expiration Date | Equity Swap Involved | Transaction Form Type | Transaction Code | Nature of Ownership |
---|---|---|---|---|---|---|
26,748 | 2015-08-14 | 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 are scheduled to vest in substantially equal installments annually over three years, with the first installment vesting on August 14, 2013.
- 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.
- This transaction was made pursuant to Rule 10b5-1 trading plan adopted by the reporting person on May 13, 2014.
- This transaction was executed in multiple trades ranging at prices from $4.32 to $4.41.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.