SEC Form 4 · accession 0000791908-17-000005
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
Jan 9, 2017
Accepted (ET)
Jan 10, 2017 · 12:21 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 SharesF2 | Jan 9, 2017 | S | 125 | $5.15 | D | 20,666 | D | |
| Common Shares | 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.
- F2Includes 250 shares acquired through the XOMA Ltd. 2015 Employee Stock Purchase Plan on Nov 30, 2016.