Home > Insider Trading > Filing (0000921895-19-001458)

Filing Details

Accession Number:: 0000921895-19-001458
Form Type:: 4
Zero Holdings:: No
Publication Time:: 2019-05-14 21:01:58
Reporting Period:: 2019-05-10

Accepted Time:: 2019-05-14 21:01:58
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	Director	Officer	Large Shareholder	Other
918923	P L Fund Value Biotechnology	44 Montgomery Street 40Th Floor San Francisco CA 94104	No	No	No	Yes
1055947	P/Il L Partners Bvf	44 Montgomery Street 40Th Floor San Francisco CA 94104	No	No	Yes	No
1056807	Bvf Inc/Il	44 Montgomery Street 40Th Floor San Francisco CA 94104	No	No	Yes	No
1102444	Biotechnology Value Fund Ii Lp	44 Montgomery Street 40Th Floor San Francisco CA 94104	No	No	No	Yes
1233840	N Mark Lampert	44 Montgomery Street 40Th Floor San Francisco CA 94104	No	No	Yes	No
1660683	Biotechnology Value Trading Fund Os Lp	P.o. Box 309 Ugland House Grand Cayman E9 KY1-1104	No	No	No	Yes
1660684	Ltd. Os Partners Bvf	P.o. Box 309 Ugland House Grand Cayman E9 KY1-1104	No	No	No	Yes

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 Stock, $0.0075 Par Value Per Share	Acquisiton	2019-05-10	10,300	$14.57	728,841	No	4	P	Direct
Common Stock, $0.0075 Par Value Per Share	Acquisiton	2019-05-13	3,797	$14.36	732,638	No	4	P	Direct
Common Stock, $0.0075 Par Value Per Share	Acquisiton	2019-05-14	13,816	$14.74	746,454	No	4	P	Direct

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

Reported Non-Derivative Holdings

Sec. Name	Remaning Holdings	Nature of Ownership	Explanation
Common Stock, $0.0075 Par Value Per Share	694,961	Direct
Common Stock, $0.0075 Par Value Per Share	123,649	Direct
Common Stock, $0.0075 Par Value Per Share	231,878	Indirect	See footnote

Reported Derivative Holdings

Show Other Fields >>

Sec. Name	Sec. Type	Price	Amount	Remaning Holdings	Nature of Ownership
Common Stock, $0.0075 Par Value Per Share	Series Y Convertible Preferred Stock	$0.00	655,959	656	Direct
Common Stock, $0.0075 Par Value Per Share	Series Y Convertible Preferred Stock	$0.00	596,813	597	Direct
Common Stock, $0.0075 Par Value Per Share	Series X Convertible Preferred Stock	$0.00	2,313,000	2,313	Direct
Common Stock, $0.0075 Par Value Per Share	Series X Convertible Preferred Stock	$0.00	1,506,000	1,506	Direct
Common Stock, $0.0075 Par Value Per Share	Series X Convertible Preferred Stock	$0.00	412,000	412	Direct
Common Stock, $0.0075 Par Value Per Share	Series X Convertible Preferred Stock	$0.00	772,000	772	Indirect

Amount	Remaning Holdings	Nature of Ownership
655,959	656	Direct
596,813	597	Direct
2,313,000	2,313	Direct
1,506,000	1,506	Direct
412,000	412	Direct
772,000	772	Indirect

Footnotes

This Form 4 is filed jointly by Biotechnology Value Fund, L.P. ("BVF"), Biotechnology Value Fund II, L.P. ("BVF2"), Biotechnology Value Trading Fund OS LP ("Trading Fund OS"), BVF Partners OS Ltd. ("Partners OS"), BVF Partners L.P. ("Partners"), BVF Inc. and Mark N. Lampert (collectively, the "Reporting Persons"). Each of the Reporting Persons is a member of a Section 13(d) group that collectively owns more than 10% of the Issuer's outstanding shares of Common Stock. Each of the Reporting Persons disclaims beneficial ownership of the securities reported herein except to the extent of his or its pecuniary interest therein.
Securities owned directly by BVF. As the general partner of BVF, Partners may be deemed to beneficially own the securities owned directly by BVF. As the investment adviser and general partner of Partners, BVF Inc. may be deemed to beneficially own the securities owned directly by BVF. As a director and officer of BVF Inc., Mr. Lampert may be deemed to beneficially own the securities owned directly by BVF.
Securities owned directly by BVF2. As the general partner of BVF2, Partners may be deemed to beneficially own the securities owned directly by BVF2. As the investment adviser and general partner of Partners, BVF Inc. may be deemed to beneficially own the securities owned directly by BVF2. As a director and officer of BVF Inc., Mr. Lampert may be deemed to beneficially own the securities owned directly by BVF2.
Securities owned directly by Trading Fund OS. As the general partner of Trading Fund OS, Partners OS may be deemed to beneficially own the securities owned directly by Trading Fund OS. As the investment manager of Trading Fund OS and the sole member of Partners OS, Partners may be deemed to beneficially own the securities owned directly by Trading Fund OS. As the investment adviser and general partner of Partners, BVF Inc. may be deemed to beneficially own the securities owned directly by Trading Fund OS. As a director and officer of BVF Inc., Mr. Lampert may be deemed to beneficially own the securities owned directly by Trading Fund OS.
Securities held in certain Partners managed accounts (the "Partners Managed Accounts"). Partners, as the investment manager of the Partners Managed Accounts, may be deemed to beneficially own the securities held by the Partners Managed Accounts. As the investment adviser and general partner of Partners, BVF Inc. may be deemed to beneficially own the securities held by the Partners Managed Accounts. As a director and officer of BVF Inc., Mr. Lampert may be deemed to beneficially own the securities held by the Partners Managed Accounts.
The Series Y Convertible Preferred Stock may not be exercised if, after such exercise, the Reporting Persons would beneficially own, as determined in accordance with Section 13(d), more than 19.99% of the shares of Common Stock outstanding immediately after giving effect to such exercise. The Series Y Convertible Preferred Stock does not have an expiration date. The initial conversion price is $13.00 and is subject to certain adjustments pursuant to the Certificate of Designation of Preferences, Rights and Limitations of Series Y Convertible Preferred Stock.
The Series X Convertible Preferred Stock may not be exercised if, after such exercise, the Reporting Persons would beneficially own, as determined in accordance with Section 13(d), more than 19.99% of the shares of Common Stock outstanding immediately after giving effect to such exercise. The Series X Convertible Preferred Stock does not have an expiration date. The initial conversion price is $4.03 and is subject to certain adjustments pursuant to the Certificate of Designation of Preferences, Rights and Limitations of Series X Convertible Preferred Stock.