SEC Form 4 · accession 0000791908-15-000045
XOMA Royalty Corp · XOMA
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
James R Neal
Other
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 SharesF1,F2 | Mar 18, 2015 | D | 3,521 | $4.0105 | D | 189,967 | D | |
| Common SharesF1,F2 | Mar 18, 2015 | D | 5,498 | $4.0105 | D | 184,469 | D | |
| Common Shares | holding | — | — | — | 4,471 | I | by 401(k) |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1Shares 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.
- F2This 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.