SEC Form 4 · accession 0001190725-18-000041
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
Dec 20, 2018
Accepted (ET)
Dec 21, 2018 · 6:24 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 | Dec 20, 2018 | X | 678 | $13.00 | A | 21,011 | 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 |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Subscription Rights (right to buy) | $13.00 | Dec 20, 2018 | X | 678 | D | Nov 19, 2018 | Dec 14, 2018 | Common Shares | 678 | 0 | D |
Explanation of responses
- F1The reporting person exercised in full his subscription rights (each subscription right entitling it to purchase 0.1148 shares of XOMA Corporation ("XOMA") common stock, at a subscription price equal to $13.00 per share), issued pro rata to holders of XOMA common stock on the record date for the rights offering. The reporting person acquired these shares of common stock at the closing of the rights offering.