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Filing Details

Accession Number:: 0001190725-17-000155
Form Type:: 4
Zero Holdings:: No
Publication Time:: 2017-11-15 20:03:40
Reporting Period:: 2017-11-13

Accepted Time:: 2017-11-15 20:03:40
SEC Url:: Form 4 Filing

Issuer

Cik	Name	Symbol	Sector (SIC)	IRS No
791908	Xoma Corp	XOMA	Pharmaceutical Preparations (2834)	522154066

Insiders

Cik	Name	Reported Address	Insider Title	Director	Officer	Large Shareholder	Other
1600865	R James Neal	C/O Xoma Corporation 2200 Powell Street, Suite 310 Emeryville CA 94608	Ceo	Yes	Yes	No	No

Reported Non-Derivative Transactions

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Sec. Name	Acquisiton - Disposition	Date	Amount	Price	Remaning Holdings	Equity Swap Involved	Form Type	Code	Nature of Ownership
Common Shares	Acquisiton	2017-11-13	11,568	$4.03	27,901	No	4	M	Direct
Common Shares	Disposition	2017-11-13	11,084	$30.79	16,817	No	4	S	Direct
Common Shares	Disposition	2017-11-13	484	$31.77	16,333	No	4	S	Direct
Common Shares	Acquisiton	2017-11-14	8,583	$4.03	24,916	No	4	M	Direct
Common Shares	Disposition	2017-11-14	3,519	$27.13	21,397	No	4	S	Direct
Common Shares	Disposition	2017-11-14	3,564	$29.05	17,833	No	4	S	Direct
Common Shares	Disposition	2017-11-14	900	$29.42	16,933	No	4	S	Direct
Common Shares	Disposition	2017-11-14	600	$30.45	16,333	No	4	S	Direct
Common Shares	Acquisiton	2017-11-15	26,145	$4.03	42,478	No	4	M	Direct
Common Shares	Disposition	2017-11-15	23,945	$27.00	18,533	No	4	S	Direct
Common Shares	Disposition	2017-11-15	2,200	$27.44	16,333	No	4	S	Direct

Equity Swap Involved	Form Type	Code	Nature of Ownership
No	4	M	Direct
No	4	S	Direct
No	4	S	Direct
No	4	M	Direct
No	4	S	Direct
No	4	S	Direct
No	4	S	Direct
No	4	S	Direct
No	4	M	Direct
No	4	S	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	Non-Qualified Share Option (right to buy)	Disposition	2017-11-13	11,568	$0.00	11,568	$4.03
Common Shares	Non-Qualified Share Option (right to buy)	Disposition	2017-11-14	8,583	$0.00	8,583	$4.03
Common Shares	Non-Qualified Share Option (right to buy)	Disposition	2017-11-15	26,145	$0.00	26,145	$4.03

Remaning Holdings	Expiration Date	Equity Swap Involved	Transaction Form Type	Transaction Code	Nature of Ownership
300,932	2027-02-10	No	4	M	Direct
292,349	2027-02-10	No	4	M	Direct
266,204	2027-02-10	No	4	M	Direct

Reported Non-Derivative Holdings

Sec. Name	Remaning Holdings	Nature of Ownership	Explanation
Common Shares	2,961	Indirect	by 401(k)

Footnotes

Includes 967 shares acquired by the Reporting Person under the Issuer's 2015 Employee Stock Purchase Plan on May 31, 2017.
The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $30.50 to $31.40, inclusive. The reporting person undertakes to provideto the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range.
The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $31.72 to $31.93, inclusive. The reporting person undertakes to provideto the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range.
The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $27.00 to $27.97, inclusive. The reporting person undertakes to provideto the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range.
The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $28.27 to $29.17, inclusive. The reporting person undertakes to provideto the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range.
The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $29.29 to $29.51, inclusive. The reporting person undertakes to provideto the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range.
The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $30.33 to $30.58, inclusive. The reporting person undertakes to provideto the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within therange.
The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $26.34 to $27.33, inclusive. The reporting person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range.
The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $27.35 to $27.50, inclusive. The reporting person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range.
Shares subject to this option shall vest in equal monthly installments over three years from the grant date.