SEC Form 4 · accession 0000791908-15-000095
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
Aug 14, 2015
Accepted (ET)
Aug 18, 2015 · 8:24 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 Shares | Aug 14, 2015 | M | 26,748 | $0.00 | A | 149,093 | D | |
| Common SharesF1 | Aug 14, 2015 | D | 10,801 | $0.8335 | D | 138,292 | D | |
| Common Shares | holding | — | — | — | 6,881 | I | by 401(k) |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Restricted Stock UnitsF2 | $0.00 | Aug 14, 2015 | M | 26,748 | D | — | Aug 14, 2015 | Common Shares | 26,748 | 0 | D |
Explanation of responses
- F1Shares sold on the open market to satisfy the 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 incentive plan.
- F2These restricted stock units are scheduled to vest in substantially equal installments annually over three years, with the first installment vesting on August 14, 2013.