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