SEC Form 5 · accession 0000791908-15-000016
XOMA Royalty Corp · XOMA
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
James R Neal
Other
Period of report
Dec 31, 2014
Accepted (ET)
Feb 17, 2015 · 6:15 pm EST
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0000791908
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common Shares | Mar 31, 2014 | J | 1,229 | $4.9495 | A | 152,670 | D | |
| Common Shares | Jun 30, 2014 | J | 594 | $4.3605 | A | 153,264 | D | |
| Common Shares | Sep 30, 2014 | J | 647 | $3.9995 | A | 147,327 | D | |
| Common Shares | Dec 31, 2014 | J | 758 | $3.4105 | A | 140,988 | D | |
| Common SharesF2 | Dec 31, 2014 | J | 3,001 | $3.8315 | A | 4,471 | I | by 401(k) |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1Shares acquired through the XOMA Ltd. 1998 Employee Share Purchase Plan (Amended and Restated through May 26, 2011). Exempt transaction under Rule 16b-3(c).
- F2All shares were acquired during the 2014 fiscal year under the XOMA Corporation Deferred Savings Plan. All shares were acquired in a transaction exempt from Section 16(b).