SEC Form 4 · accession 0001190725-18-000021
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
Apr 26, 2018
Accepted (ET)
Apr 27, 2018 · 5:44 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 Shares | Apr 26, 2018 | M | 8,345 | $5.50 | A | 24,678 | D | |
| Common SharesF1 | Apr 26, 2018 | S | 8,345 | $24.6914 | D | 16,333 | D | |
| Common Shares | Apr 27, 2018 | M | 15,655 | $5.50 | A | 31,988 | D | |
| Common SharesF2 | Apr 27, 2018 | S | 15,655 | $24.4162 | 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) | $5.50 | Apr 26, 2018 | M | 8,345 | D | Dec 21, 2017 | Dec 22, 2026 | Common Shares | 8,345 | 91,655 | D |
| Non-Qualified Share Option (right to buy) | $5.50 | Apr 27, 2018 | M | 15,655 | D | Dec 21, 2017 | Dec 22, 2026 | Common Shares | 15,655 | 76,000 | D |
Explanation of responses
- F1The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $24.50 to $25.00, 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.
- F2The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $24.25 to $24.835, 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.