Filing Details
- Accession Number:
- 0001190725-18-000037
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2018-11-16 16:31:31
- Reporting Period:
- 2018-11-15
- Accepted Time:
- 2018-11-16 16:31:31
- 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 |
|---|---|---|---|---|---|---|---|
| 1221676 | Denman W Ness Van | C/O Xoma Corporation 2200 Powell Street, Suite 310 Emeryville CA 94608 | Yes | No | 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 | 2018-11-15 | 4,667 | $4.03 | 11,646 | No | 4 | M | Direct | |
| Common Shares | Acquisiton | 2018-11-15 | 3,026 | $11.20 | 14,672 | No | 4 | M | Direct | |
| Common Shares | Disposition | 2018-11-15 | 5,528 | $12.67 | 9,144 | No | 4 | S | Direct |
| Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|
| No | 4 | M | 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 | Non-Qualified Share Option (right to buy) | Disposition | 2018-11-15 | 4,667 | $0.00 | 4,667 | $4.03 |
| Common Shares | Non-Qualified Share Option (right to buy) | Disposition | 2018-11-15 | 3,026 | $0.00 | 3,026 | $11.20 |
| Remaning Holdings | Exercise Date | Expiration Date | Equity Swap Involved | Transaction Form Type | Transaction Code | Nature of Ownership |
|---|---|---|---|---|---|---|
| 3,333 | 2027-02-10 | No | 4 | M | Direct | |
| 0 | 2026-07-21 | No | 4 | M | Direct |
Reported Non-Derivative Holdings
| Sec. Name | Remaning Holdings | Nature of Ownership | Explanation |
|---|---|---|---|
| Common Shares | 1 | Indirect | by IRA |
| Common Shares | 130 | Indirect | by Trust |
Footnotes
- Reflects the number of shares sold in connection with the cashless exercise.
- Owned directly through W. D. Van Ness IRA.
- Shares owned directly by The Van Ness 1983 Revocable Trust.
- Shares subject to this option shall vest in equal monthly installments over three years from the grant date.
- This option is exercisable in twelve equal monthly installments, beginning one month from the vest start date, which is the same as the grant date.
Billionaire Hedge Funds
