0000791908-14-000106.txt : 20140819 0000791908-14-000106.hdr.sgml : 20140819 20140819124719 ACCESSION NUMBER: 0000791908-14-000106 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20140814 FILED AS OF DATE: 20140819 DATE AS OF CHANGE: 20140819 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: XOMA Corp CENTRAL INDEX KEY: 0000791908 STANDARD INDUSTRIAL CLASSIFICATION: PHARMACEUTICAL PREPARATIONS [2834] IRS NUMBER: 942756657 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 BUSINESS ADDRESS: STREET 1: 2910 SEVENTH ST CITY: BERKELEY STATE: CA ZIP: 94710 BUSINESS PHONE: 5106441170 MAIL ADDRESS: STREET 1: 2910 SEVENTH ST CITY: BERKELEY STATE: CA ZIP: 94710 FORMER COMPANY: FORMER CONFORMED NAME: XOMA LTD /DE/ DATE OF NAME CHANGE: 19990107 FORMER COMPANY: FORMER CONFORMED NAME: XOMA CORP /DE/ DATE OF NAME CHANGE: 19920703 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: RUBIN PAUL D CENTRAL INDEX KEY: 0001210905 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 000-14710 FILM NUMBER: 141051350 MAIL ADDRESS: STREET 1: 37 GREYSTONE LANE CITY: SUDBURY STATE: MA ZIP: 01776 4 1 edgardoc.xml PRIMARY DOCUMENT X0306 4 2014-08-14 0 0000791908 XOMA Corp XOMA 0001210905 RUBIN PAUL D C/O XOMA CORPORATION 2910 SEVENTH STREET BERKELEY CA 94710 0 1 0 0 Sr. VP Clinical Dev. & CMO Common Shares 2014-08-14 4 M 0 26748 0 A 98769 D Common Shares 2014-08-15 4 S 0 10299 4.3054 D 88470 D Common Shares 2014-08-18 4 S 0 16449 4.3621 D 72021 D Common Shares 5310 I by 401(k) Restricted Stock Units 0 2014-08-14 4 M 0 26748 0 D 2015-08-14 Common Shares 26748 26748 D These restricted stock units are scheduled to vest in substantially equal installments annually over three years, with the first installment vesting on August 14, 2013. Shares sold on the open market to satisfy the minimum amount of taxes required to be withheld in connection with the vesting of the shares in a non-discretionary transaction pursuant to the reporting person's agreement under the Company's equity incentive plan. This transaction was made pursuant to Rule 10b5-1 trading plan adopted by the reporting person on May 13, 2014. This transaction was executed in multiple trades ranging at prices from $4.32 to $4.41.The price reported reflects the weighted average sale price. The reporting person hereby undertakes to provide upon request to the SEC staff, the Company or a security holder of the Company full information regarding the number of shares and prices at which the transactions were effected. By: Russell J. Wood For: Paul D. Rubin 2014-08-18