0001193805-21-000704.txt : 20210521 0001193805-21-000704.hdr.sgml : 20210521 20210521184725 ACCESSION NUMBER: 0001193805-21-000704 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20210519 FILED AS OF DATE: 20210521 DATE AS OF CHANGE: 20210521 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: PERRY MATTHEW D CENTRAL INDEX KEY: 0001454337 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-39801 FILM NUMBER: 21950600 MAIL ADDRESS: STREET 1: ONE SANSOME STREET STREET 2: 30TH FLOOR CITY: SAN FRANCISCO STATE: CA ZIP: 94104 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: XOMA Corp CENTRAL INDEX KEY: 0000791908 STANDARD INDUSTRIAL CLASSIFICATION: PHARMACEUTICAL PREPARATIONS [2834] IRS NUMBER: 522154066 FISCAL YEAR END: 1231 BUSINESS ADDRESS: STREET 1: 2200 POWELL STREET STREET 2: SUITE 310 CITY: EMERYVILLE STATE: CA ZIP: 94608 BUSINESS PHONE: 510-204-7239 MAIL ADDRESS: STREET 1: 2200 POWELL STREET STREET 2: SUITE 310 CITY: EMERYVILLE STATE: CA ZIP: 94608 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 4 1 form407422010per_05212021.xml X0306 4 2021-05-19 0 0000791908 XOMA Corp XOMA 0001454337 PERRY MATTHEW D 44 MONTGOMERY STREET 40TH FLOOR SAN FRANCISCO CA 94104 1 0 0 1 See Explanation of Responses Common Stock, $0.0075 par value per share 11799 D 8.625% Series A Cumulative Perpetual Preferred Stock 200000 D Non-Qualified Stock Option (right to buy) 31.04 2021-05-19 4 A 0 5101 A 2031-05-19 Common Stock 5101 5101 D Non-Qualified Stock Option (right to buy) 21.27 2030-05-20 Common Stock 6152 6152 D Non-Qualified Stock Option (right to buy) 15.59 2029-05-16 Common Stock 8167 8167 D Non-Qualified Stock Option (right to buy) 25.16 2028-05-17 Common Stock 5052 5052 D Non-Qualified Stock Option (right to buy) 4.67 2027-03-02 Common Stock 15222 15222 D 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 19, 2021), 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 20, 2021, these options are fully exercisable. 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. /s/ Matthew D. Perry 2021-05-21