SEC Form 4 · accession 0000791908-15-000029
XOMA Royalty Corp · XOMA
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Paul D Rubin
Officer — Sr. VP Clinical Dev. & CMO
Period of report
Feb 26, 2015
Accepted (ET)
Mar 2, 2015 · 7:41 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 SharesF1 | Feb 26, 2015 | A | 64,900 | $0.00 | A | 142,398 | D | |
| Common Shares | holding | — | — | — | 6,881 | I | by 401(k) |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Non-Qualified Share Option (right to buy)F2 | $3.83 | Feb 26, 2015 | A | 86,910 | A | — | Feb 26, 2025 | Common Shares | 86,910 | 86,910 | D |
Explanation of responses
- F1These shares were acquired pursuant to a grant of restricted stock units on February 26, 2014 under the Amended and Restated XOMA Corporation 2010 Long Term Incentive and Stock Award Plan and are scheduled to vest in substantially equal installments on each of March 18, 2016, March 18, 2017, and March 18, 2018.
- F2Exercisable with respect to 1/48th of options in monthly increments beginning March 26, 2015 and ending February 26, 2018.