SEC Form 4 · accession 0000791908-15-000043

XOMA Royalty Corp · XOMA

Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗

Reporting owner

Officer — CEO · Director

Period of report

Mar 18, 2015

Accepted (ET)

Mar 20, 2015 · 7:30 pm EDT

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^F1,F2	Mar 18, 2015	M	36,907	$0.00	A	597,291	D
Common Shares^F3,F4	Mar 18, 2015	D	21,416	$4.0105	D	575,875	D
Common Shares^F3,F4	Mar 18, 2015	D	23,461	$4.0105	D	552,414	D
Common Shares	holding	—	—		—	18,538	I	by 401(k)

Security	Conv. / exercise price	Date	Code	Shares	A/D	Exercisable	Expires	Underlying	Underlying shares	Owned after	D/I
Restricted Stock Units^F2,F1	$0.00	Mar 18, 2015	M	36,907	D	Mar 18, 2014	Mar 18, 2016	Common Shares	36,907	36,907	D

F1These restricted stock units are scheduled to vest in substantially equal installments annually over three years, with the first installment vesting on March 18, 2014.
F2Each restricted stock unit represents the right to receive, at settlement, one share of common stock. This nondiscretionary transaction represents the settlement of vested restricted stock units in shares of common stock.
F3Shares sold on the open market to satisfy the minimum amount of taxes required to be withheld in connection with the vesting of the shares in a non-discretionary transaction pursuant to the reporting person's agreement under the Company's equity incentive plan.
F4This transaction was executed in multiple trades ranging at prices from $3.93 to $4.15.The price reported reflects the weighted average sale price. The reporting person hereby undertakes to provide upon request to the SEC staff, the Issuer or a security holder of the Issuer full information regarding the number of shares and prices at which the transactions were effected.