0001214659-20-010509.txt : 20201217
0001214659-20-010509.hdr.sgml : 20201217
20201217163023
ACCESSION NUMBER: 0001214659-20-010509
CONFORMED SUBMISSION TYPE: 4
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20201215
FILED AS OF DATE: 20201217
DATE AS OF CHANGE: 20201217
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: Neal James R
CENTRAL INDEX KEY: 0001600865
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-39801
FILM NUMBER: 201396461
MAIL ADDRESS:
STREET 1: 2910 SEVENTH STREET
CITY: BERKELEY
STATE: CA
ZIP: 94710
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
marketforms-50650.xml
PRIMARY DOCUMENT
X0306
4
2020-12-15
0000791908
XOMA Corp
XOMA
0001600865
Neal James R
C/O XOMA CORPORATION
2200 POWELL STREET, SUITE 310
EMERYVILLE
CA
94608
true
true
false
false
CEO
Common Stock
2020-12-15
4
M
false
26000
5.50
A
46849
D
Common Stock
2020-12-15
4
S
false
20294
41.15
D
26555
D
Common Stock
2020-12-15
4
S
false
5706
42.0435
D
20849
D
Common Stock
4673
I
By 401(k) Plan
8.625% Series A Cumulative Perpetual Preferred Stock
2020-12-15
4
A
false
8000
25.00
A
8000
I
By spouse
Stock Option (Right to Buy)
5.50
2020-12-15
4
M
false
26000
0
D
2017-12-22
Common Stock
26000
0
D
The sales reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person.
The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $40.9650 to $41.96, inclusive. The reporting person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range.
The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $41.98 to $42.10, inclusive. The reporting person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range.
Purchased 8,000 shares of the Issuer's 8.625% Series A Cumulative Perpetual Preferred Stock, with 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. Holders of 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.
Shares subject to this option fully vested on February 21, 2017.
/s/ James R. Neal
2020-12-17