SEC Form 4 · accession 0000791908-15-000067
XOMA Royalty Corp · XOMA
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
W Denman Van Ness
Director
Period of report
May 21, 2015
Accepted (ET)
May 22, 2015 · 6:52 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 | May 21, 2015 | A | 36,873 | $0.00 | A | 81,900 | D | |
| Common SharesF2 | holding | — | — | — | 20 | I | by IRA | |
| Common SharesF3 | holding | — | — | — | 10 | I | by Spouse | |
| Common SharesF4 | holding | — | — | — | 2,600 | I | by Trust |
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)F5 | $3.39 | May 21, 2015 | A | 36,873 | A | — | May 21, 2025 | Common Shares | 36,873 | 36,873 | D |
Explanation of responses
- F1These shares were acquired pursuant to a grant of restricted stock units on May 21, 2015, 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 May 28, 2016, May 28, 2017, and May 28, 2018.
- F2Owned directly through W. D. Van Ness IRA.
- F3Held indirectly through the C. Van Ness IRA.
- F4Shares owned directly by The Van Ness 1983 Revocable Trust.
- F5Exercisable with respect to 1/12th of options in monthly increments beginning June 21, 2015 and ending May 21, 2016.