SEC Form 4 · accession 0000791908-15-000050
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
Mar 23, 2015
Accepted (ET)
Mar 23, 2015 · 6:35 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 23, 2015 | S | 32,742 | $3.9362 | D | 119,467 | D | |
| Common Shares | holding | — | — | — | 6,881 | I | by 401(k) |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1This transaction was made pursuant to Rule 10b5-1 trading plan adopted by the reporting person on May 13, 2014.
- F2This transaction was executed in multiple trades ranging at prices from $3.780 to $4.020.The price reported reflects the weighted average sale price. The reporting person hereby undertakes to provide upon request to the SEC staff, the Company or a security holder of the Company full information regarding the number of shares and prices at which the transactions were effected.