SEC Form 5 · accession 0000791908-16-000117
XOMA Royalty Corp · XOMA
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
James R Neal
Other
Period of report
Dec 31, 2015
Accepted (ET)
Feb 16, 2016 · 5:36 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 Shares | Mar 31, 2015 | J | 1,775 | $3.458 | A | 186,244 | D | |
| Common Shares | Jun 30, 2015 | J | 703 | $3.686 | A | 186,947 | D | |
| Common Shares | Nov 30, 2015 | J | 4,318 | $1.1305 | A | 182,198 | D | |
| Common Shares | Dec 31, 2015 | J | 8,721 | $1.376 | A | 13,192 | I | by 401(k) |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1Shares acquired through the XOMA 2015 Employee Stock Purchase Plan. Exempt transaction under Section 16b-3(c).
- F2All shares were acquired during the 2015 fiscal year under the XOMA Corporation Deferred Savings Plan. All shares were acquired in a transaction exempt from Section 16b-3.