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Filing Details

Accession Number:: 0000921895-20-003256
Form Type:: 4
Zero Holdings:: No
Publication Time:: 2020-12-15 19:12:35
Reporting Period:: 2020-12-11

Accepted Time:: 2020-12-15 19:12:35
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
1454337	D Matthew Perry	44 Montgomery Street 40Th Floor San Francisco CA 94104		Yes	No	No	Yes

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	Explanation
8.625% Series A Cumulative Perpetual Preferred Stock	Acquisiton	2020-12-11	200,000	$25.00	200,000	No	4	P	Direct

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

Reported Non-Derivative Holdings

Sec. Name	Remaning Holdings	Nature of Ownership	Explanation
Common Stock, $0.0075 Par Value Per Share	11,799	Direct

Reported Derivative Holdings

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Sec. Name	Sec. Type	Price	Expiration Date	Amount	Remaning Holdings	Nature of Ownership
Common Stock	Non-Qualified Stock Option (right to buy)	$21.27	2030-05-20	6,152	6,152	Direct
Common Stock	Non-Qualified Stock Option (right to buy)	$15.59	2029-05-16	8,167	8,167	Direct
Common Stock	Non-Qualified Stock Option (right to buy)	$25.16	2028-05-17	5,052	5,052	Direct
Common Stock	Non-Qualified Stock Option (right to buy)	$4.67	2027-03-02	15,222	15,222	Direct

Expiration Date	Amount	Remaning Holdings	Nature of Ownership
2030-05-20	6,152	6,152	Direct
2029-05-16	8,167	8,167	Direct
2028-05-17	5,052	5,052	Direct
2027-03-02	15,222	15,222	Direct

Footnotes

The Reporting Person may be deemed to be a member of a Section 13(d) group that may be deemed to collectively beneficially own more than 10% of the Issuer's outstanding shares of Common Stock.
The shares subject to this option shall vest and become exercisable in equal monthly installments over the 12-month period following the date of grant (May 20, 2020), provided that the final installment will occur on the earlier of (i) the date of the next annual meeting of the Company's stockholders or (ii) the first anniversary of the date of grant of such option.
All of the shares subject to this option vested and became exercisable in twelve equal monthly installments. As of May 16, 2020, these options are fully exercisable.
These options were acquired pursuant to a grant of stock options under the Amended and Restated XOMA Corporation 2010 Long Term Incentive and Stock Award Plan (the "Plan") and were scheduled to vest and become exercisable on the one-year anniversary of the grant date of May 17, 2018. As of May 17, 2019, these options are fully exercisable.
These options were acquired pursuant to the Plan, and were exercisable in twelve equal monthly installments, beginning one month from the vesting commencement date, which was February 15, 2017. As of February 15, 2018, these options are fully exercisable.
Mr. Perry purchased 200,000 shares of the Issuer's 8.625% Series A Cumulative Perpetual Preferred Stock, par value $0.05 per share and liquidation preference of $25.00 per share (the "Series A Preferred Stock"), in the Issuer's public offering at the public offering price of $25.00 per share. The terms of the Series A Preferred Stock are set forth in the Certificate of Designation of the 8.625% Series A Cumulative Perpetual Preferred Stock of the Issuer (the "Certificate of Designation"). Investors in the Series A Preferred Stock generally will have no voting rights, but will have limited voting rights if the Issuer fails to pay dividends for six or more quarters (whether or not declared or consecutive) and in certain other events.