SEC Form 4 · accession 0001190725-17-000155
XOMA Royalty Corp · XOMA
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
James R Neal
Officer — CEO · Director
Period of report
Nov 13, 2017
Accepted (ET)
Nov 15, 2017 · 8:03 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 SharesF1 | Nov 13, 2017 | M | 11,568 | $4.03 | A | 27,901 | D | |
| Common SharesF2 | Nov 13, 2017 | S | 11,084 | $30.7921 | D | 16,817 | D | |
| Common SharesF3 | Nov 13, 2017 | S | 484 | $31.7655 | D | 16,333 | D | |
| Common Shares | Nov 14, 2017 | M | 8,583 | $4.03 | A | 24,916 | D | |
| Common SharesF4 | Nov 14, 2017 | S | 3,519 | $27.1293 | D | 21,397 | D | |
| Common SharesF5 | Nov 14, 2017 | S | 3,564 | $29.0494 | D | 17,833 | D | |
| Common SharesF6 | Nov 14, 2017 | S | 900 | $29.4189 | D | 16,933 | D | |
| Common SharesF7 | Nov 14, 2017 | S | 600 | $30.45 | D | 16,333 | D | |
| Common Shares | Nov 15, 2017 | M | 26,145 | $4.03 | A | 42,478 | D | |
| Common SharesF8 | Nov 15, 2017 | S | 23,945 | $26.9952 | D | 18,533 | D | |
| Common SharesF9 | Nov 15, 2017 | S | 2,200 | $27.439 | D | 16,333 | D | |
| Common Shares | holding | — | — | — | 2,961 | I | by 401(k) |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Non-Qualified Share Option (right to buy)F10 | $4.03 | Nov 13, 2017 | M | 11,568 | D | — | Feb 10, 2027 | Common Shares | 11,568 | 300,932 | D |
| Non-Qualified Share Option (right to buy)F10 | $4.03 | Nov 14, 2017 | M | 8,583 | D | — | Feb 10, 2027 | Common Shares | 8,583 | 292,349 | D |
| Non-Qualified Share Option (right to buy)F10 | $4.03 | Nov 15, 2017 | M | 26,145 | D | — | Feb 10, 2027 | Common Shares | 26,145 | 266,204 | D |
Explanation of responses
- F1Includes 967 shares acquired by the Reporting Person under the Issuer's 2015 Employee Stock Purchase Plan on May 31, 2017.
- F10Shares subject to this option shall vest in equal monthly installments over three years from the grant date.
- F2The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $30.50 to $31.40, inclusive. The reporting person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range.
- F3The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $31.72 to $31.93, inclusive. The reporting person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range.
- F4The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $27.00 to $27.97, inclusive. The reporting person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range.
- F5The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $28.27 to $29.17, inclusive. The reporting person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range.
- F6The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $29.29 to $29.51, inclusive. The reporting person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range.
- F7The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $30.33 to $30.58, inclusive. The reporting person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range.
- F8The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $26.34 to $27.33, inclusive. The reporting person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range.
- F9The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $27.35 to $27.50, inclusive. The reporting person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range.