0000791908-14-000170.txt : 20141216 0000791908-14-000170.hdr.sgml : 20141216 20141216130122 ACCESSION NUMBER: 0000791908-14-000170 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20141215 FILED AS OF DATE: 20141216 DATE AS OF CHANGE: 20141216 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: 141289035 MAIL ADDRESS: STREET 1: 37 GREYSTONE LANE CITY: SUDBURY STATE: MA ZIP: 01776 4 1 edgardoc.xml PRIMARY DOCUMENT X0306 4 2014-12-15 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 2014-12-15 4 M 0 1600.0 3.04 A 73621 D Common Shares 2014-12-15 4 S 0 1600.0 4.6256 D 72021 D Common Shares 5310 I by 401(k) Incentive Share Option (right to buy) 3.04 2014-12-15 4 M 0 1600.0 3.04 D 2021-05-31 Common Shares 1600 70440 D 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 $4.62 to $4.555.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. Incentive Stock Option exercisable in conjunction with matching Non-Qualified Stock Option as to (a) 25% of the option shares upon the first anniversary of the date of grant, and (b) the remaining 75% of the option shares in thirty-six (36) equal and consecutive monthly installments beginning one year and one month after the date of grant. By: Russell J. Wood For: Paul D. Rubin 2014-12-16