SEC Form 4 · accession 0001193805-18-000731
XOMA Royalty Corp · XOMA
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Matthew D Perry
Director · Other
Period of report
May 17, 2018
Accepted (ET)
May 21, 2018 · 8:53 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 Stock, $0.0075 par value per shareF1 | holding | — | — | — | 11,799 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Non-Qualified Stock Option (right to buy)F1,F2 | $25.16 | May 17, 2018 | A | 5,052 | A | — | May 17, 2028 | Common Stock | 5,052 | 5,052 | D |
| Non-Qualified Stock Option (right to buy)F1,F3 | $4.67 | holding | — | — | — | — | Mar 2, 2027 | Common Stock | 15,222 | 15,222 | D |
Explanation of responses
- F1The Reporting Person may be deemed to be a member of a Section 13(d) group that may be deemed to collectively beneficially own more than 10% of the Issuer's outstanding shares of Common Stock.
- F2These options were acquired pursuant to a grant of stock options under the Amended and Restated XOMA Corporation 2010 Long Term Incentive and Stock Award Plan (the "Plan") and are scheduled to vest and become exercisable on the one-year anniversary of the grant date of May 17, 2018, so long as the Reporting Person has provided continuous service from the grant date through the one-year anniversary of the grant date.
- F3These options were acquired pursuant to the Plan, and are exercisable in twelve equal monthly installments, beginning one month from the vesting commencement date, which is February 15, 2017. As of February 15, 2018, these options are fully exercisable.