SEC Form 4 · accession 0000791908-15-000105
XOMA Royalty Corp · XOMA
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Joseph M Limber
Director
Period of report
Dec 12, 2015
Accepted (ET)
Dec 15, 2015 · 4:37 pm EST
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 | Dec 12, 2015 | M | 5,600 | $0.00 | A | 73,173 | D |
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,F1 | $0.00 | Dec 12, 2015 | M | 5,600 | D | — | Dec 12, 2015 | Common Shares | 5,600 | 0 | 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 December 12, 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.