X0206 3 2014-02-27 0 0000791908 XOMA Corp XOMA 0001600865 Neal James R C/O XOMA CORPORATION 2910 SEVENTH STREET BERKELEY CA 94710 0 1 0 0 VP Business Development Common Shares 154112 D Common Shares 1470 I by 401(k) Incentive Share Option (right to buy) 7.35 2020-03-01 Common Shares 1041 D Incentive Share Option (right to buy) 10.725 2013-11-16 2019-11-16 Common Shares 37296 D Non-Qualified Share Option (right to buy) 1.69 2013-10-27 2021-10-27 Common Shares 9758 D Non-Qualified Share Option (right to buy) 2.715 2023-02-28 Common Shares 23563 D Non-Qualified Share Option (right to buy) 3.53 2022-07-19 Common Shares 45751 D Non-Qualified Share Option (right to buy) 7.35 2013-12-01 2020-03-01 Common Shares 15625 D Non-Qualified Share Option (right to buy) 8.91 2024-02-27 Common Shares 45000 D Non-Qualified Share Option (right to buy) 10.725 2013-11-16 2019-11-16 Common Shares 16037 D Represents shares directly owned by Mr. Neal as of February 27, 2014, the date on which Mr. Neal became a reporting person. These shares consist of (1) 15,334 shares acquired under XOMA's Employee Share Purchase Plan; and (2) 138,778 shares underlying restricted stock units awarded to Mr. Neal through February 27, 2014. Incentive Stock Option exercisable in installments of 347 shares per month beginning 1/1/2014 and ending 3/1/2014. Exercisable with respect to 1/48th of options in monthly increments beginning 3/28/2013 and ending 2/28/2017. Exercisable with respect to 1/48th of options in monthly increments beginning 8/19/2012 and ending 7/19/2016. Exercisable with respect to 1/48th of options in monthly increments beginning 3/27/2014 and ending 2/27/2018. By: Russell J. Wood For: James R. Neal 2014-03-03