SEC Form 4 · accession 0000791908-15-000082
XOMA Royalty Corp · XOMA
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
William K Bowes Jr.
Director
Period of report
May 28, 2015
Accepted (ET)
Jun 1, 2015 · 6:24 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 | May 28, 2015 | M | 2,800 | $0.00 | A | 76,539 | D | |
| Common SharesF3,F2 | May 28, 2015 | M | 2,800 | $0.00 | A | 79,339 | D | |
| Common SharesF4 | holding | — | — | — | 1,000 | I | by Spouse |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Restricted Stock UnitsF1,F2 | $0.00 | May 28, 2015 | M | 2,800 | D | — | May 28, 2015 | Common Shares | 2,800 | 0 | D |
| Restricted Stock UnitsF3,F2 | $0.00 | May 28, 2015 | M | 2,800 | D | — | May 28, 2016 | Common Shares | 2,800 | 2,800 | D |
Explanation of responses
- F1These restricted stock units are scheduled to vest in substantially equal installments annually over three years, with the first installment vesting on May 28, 2013.
- F2Each restricted stock unit represents the right to receive, upon vesting, one share of common stock. This nondiscretionary transaction represents the vesting of restricted stock units as shares of common stock.
- F3These restricted stock units are scheduled to vest in substantially equal installments annually over three years, with the first installment vesting on May 28, 2014.
- F4These shares were purchased and are held by Ute C. Bowes, the spouse of William K. Bowes, Jr.