SEC Form 4 · accession 0000791908-16-000174
XOMA Royalty Corp · XOMA
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
James R Neal
Officer — VP Business Development
Period of report
Nov 1, 2016
Accepted (ET)
Nov 3, 2016 · 7:38 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 SharesF2,F3 | Nov 1, 2016 | S | 150 | $5.25 | D | 20,541 | D | |
| Common SharesF2 | holding | — | — | — | 659 | 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 shares and price represented reflect a 1:20 reverse split effective 10/18/2016.
- F3Includes unvested RSUs reported on Table 1.