SEC Form 4 · accession 0000791908-16-000163
XOMA Royalty Corp · XOMA
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
James R Neal
Officer — VP Business Development · Other
Period of report
Oct 7, 2016
Accepted (ET)
Oct 11, 2016 · 5:26 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,F3 | Oct 7, 2016 | S | 2,500 | $0.4478 | D | 413,839 | D | |
| Common Shares | holding | — | — | — | 13,192 | I | by 401(k) |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1This transaction was made pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on May 12, 2016.
- F2The sale price is an average price. Transactions were executed in multiple trades ranging at prices from $0.4413 to $0.4550.The price reported reflects the weighted average sale price. The reporting person hereby undertakes to provide upon request to the SEC staff, the Company or a security holder of the Company full information regarding the number of shares and prices at which the transactions were effected.
- F3Includes unvested RSUs reported on Table I.