Filing Details
- Accession Number:
- 0000791908-16-000174
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2016-11-03 19:38:17
- Reporting Period:
- 2016-11-01
- Filing Date:
- 2016-11-03
- Accepted Time:
- 2016-11-03 19:38:17
- 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 |
|---|---|---|---|---|---|---|---|
| 1600865 | R James Neal | 2910 Seventh Street Berkeley CA 94710 | Vp Business Development | 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 | Disposition | 2016-11-01 | 150 | $5.25 | 20,541 | No | 4 | S | Direct |
| Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|
| No | 4 | S | Direct |
Reported Non-Derivative Holdings
| Sec. Name | Remaning Holdings | Nature of Ownership | Explanation |
|---|---|---|---|
| Common Shares | 659 | Indirect | by 401(k) |
Footnotes
- This transaction was made pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on May 12, 2016.
- The shares and price represented reflect a 1:20 reverse split effective 10/18/2016.
- Includes unvested RSUs reported on Table 1.
Billionaire Hedge Funds
