SEC Form 4 · accession 0000791908-17-000011
XOMA Royalty Corp · XOMA
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Thomas M. Burns
Officer — VP, Finance & Chief Financial
Period of report
Mar 21, 2017
Accepted (ET)
Mar 23, 2017 · 10:31 am 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,F3,F4 | Mar 21, 2017 | S | 2,598 | $5.4003 | D | 6,555 | D | |
| Common Shares | holding | — | — | — | 2,390 | I | by 401(k) |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1Indirect ownership includes shares acquired from a 401(k) match accumulated during 2016 and purchased on 1/26/2017, deemed not reportable.
- F2Shares sold on the open market to satisfy the taxes required to be withheld in connection with the vesting of the shares in a non-discretionary transaction pursuant to the reporting person's agreement under the Company's incentive plan.
- F3Shares sold at multiple prices between $5.40 and $5.4004 with a weighted average sale price of $5.400337.
- F4Includes unvested RSUs previously reported on Table I.