| Name | Relationship | Address | Signature | Signature date | CIK |
|---|---|---|---|---|---|
| BVF PARTNERS L P/IL | 10%+ Owner | 44 MONTGOMERY STREET, 40TH FLOOR, SAN FRANCISCO | BVF Partners L.P., By: BVF Inc., its general partner, By: /s/ Mark N. Lampert, President | 20 May 2025 | 0001055947 |
| BIOTECHNOLOGY VALUE FUND L P | 10%+ Owner | 44 MONTGOMERY STREET, 40TH FLOOR, SAN FRANCISCO | Biotechnology Value Fund, L.P., By: BVF I GP LLC, its general partner, By: /s/ Mark N. Lampert, Chief Executive Officer | 20 May 2025 | 0000918923 |
| BVF I GP LLC | 10%+ Owner | 44 MONTGOMERY ST., 40TH FLOOR, SAN FRANCISCO | BVF I GP LLC, By: /s/ Mark N. Lampert, Chief Executive Officer | 20 May 2025 | 0001803805 |
| BIOTECHNOLOGY VALUE FUND II LP | 10%+ Owner | 44 MONTGOMERY STREET, 40TH FLOOR, SAN FRANCISCO | Biotechnology Value Fund II, L.P., By: BVF II GP LLC, its general partner, By: /s/ Mark N. Lampert, Chief Executive Officer | 20 May 2025 | 0001102444 |
| BVF II GP LLC | 10%+ Owner | 44 MONTGOMERY ST., 40TH FLOOR, SAN FRANCISCO | BVF II GP LLC, By: /s/ Mark N. Lampert, Chief Executive Officer | 20 May 2025 | 0001803806 |
| Biotechnology Value Trading Fund OS LP | Other* | P.O. BOX 309 UGLAND HOUSE, GRAND CAYMAN, CAYMAN ISLANDS | BVF Partners OS Ltd., By: BVF Partners L.P., its sole member, By: BVF Inc., its general partner, By: /s/ Mark N. Lampert, President | 20 May 2025 | 0001660683 |
| BVF Partners OS Ltd. | Other* | P.O. BOX 309 UGLAND HOUSE, GRAND CAYMAN, CAYMAN ISLANDS | Biotechnology Value Trading Fund OS LP, By: BVF Partners L.P., its investment manager, BVF Inc., its general partner, By: /s/ Mark N. Lampert, President | 20 May 2025 | 0001660684 |
| BVF GP HOLDINGS LLC | 10%+ Owner | 44 MONTGOMERY ST., 40TH FLOOR, SAN FRANCISCO | BVF GP Holdings LLC, By: /s/ Mark N. Lampert, Chief Executive Officer | 20 May 2025 | 0001803809 |
| BVF INC/IL | 10%+ Owner | 44 MONTGOMERY STREET, 40TH FLOOR, SAN FRANCISCO | BVF Inc., By: /s/ Mark N. Lampert, President | 20 May 2025 | 0001056807 |
| LAMPERT MARK N | 10%+ Owner | 44 MONTGOMERY STREET, 40TH FLOOR, SAN FRANCISCO | /s/ Mark N. Lampert | 20 May 2025 | 0001233840 |
| Type | Sym | Class | Transaction | Value $ | Shares | Change % | * Price $ | Shares After | Date | Ownership | Footnotes |
|---|---|---|---|---|---|---|---|---|---|---|---|
| transaction | XOMA | Common Stock, $0.0075 par value per share | Sale | $3,452,730 | -127,407 | -8.8% | $27.10 | 1,322,758 | 16 May 2025 | Direct | F1, F2 |
| transaction | XOMA | Common Stock, $0.0075 par value per share | Sale | $7,190,064 | -265,316 | -17% | $27.10 | 1,267,545 | 16 May 2025 | Direct | F1, F3 |
| Type | Sym | Class | Transaction | Value $ | Shares | Change % | * Price $ | Shares After | Date | Underlying Class | Amount | Exercise Price | Ownership | Footnotes |
|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|
| holding | XOMA | Series X Convertible Preferred Stock | 2,313 | 16 May 2025 | Common Stock, $0.0075 par value per share | 2,313,000 | Direct | F2, F6 | ||||||
| holding | XOMA | Series X Convertible Preferred Stock | 1,506 | 16 May 2025 | Common Stock, $0.0075 par value per share | 1,506,000 | Direct | F3, F6 | ||||||
| holding | XOMA | Series X Convertible Preferred Stock | 412 | 16 May 2025 | Common Stock, $0.0075 par value per share | 412,000 | Direct | F4, F6 | ||||||
| holding | XOMA | Series X Convertible Preferred Stock | 772 | 16 May 2025 | Common Stock, $0.0075 par value per share | 772,000 | See footnote | F5, F6 |
| Id | Content |
|---|---|
| F1 | This Form 4 is filed jointly by Biotechnology Value Fund, L.P. ("BVF"), Biotechnology Value Fund II, L.P. ("BVF2"), Biotechnology Value Trading Fund OS LP ("Trading Fund OS"), BVF Partners OS Ltd. ("Partners OS"), BVF I GP LLC ("BVF GP"), BVF II GP LLC ("BVF2 GP"), BVF GP Holdings LLC ("BVF GPH"), BVF Partners L.P. ("Partners"), BVF Inc. and Mark N. Lampert (collectively, the "Reporting Persons"). Each of the Reporting Persons is a member of a Section 13(d) group that collectively owns more than 10% of the Issuer's outstanding shares of Common Stock. Each of the Reporting Persons disclaims beneficial ownership of the securities reported herein except to the extent of his or its pecuniary interest therein. |
| F2 | Securities owned directly by BVF. As the general partner of BVF, BVF GP may be deemed to beneficially own the securities owned directly by BVF. As the sole member of BVF GP, BVF GPH may be deemed to beneficially own the securities owned directly by BVF. As the investment manager of BVF, Partners may be deemed to beneficially own the securities owned directly by BVF. As the investment adviser and general partner of Partners, BVF Inc. may be deemed to beneficially own the securities owned directly by BVF. As a director and officer of BVF Inc., Mr. Lampert may be deemed to beneficially own the securities owned directly by BVF. |
| F3 | Securities owned directly by BVF2. As the general partner of BVF2, BVF2 GP may be deemed to beneficially own the securities owned directly by BVF2. As the sole member of BVF2 GP, BVF GPH may be deemed to beneficially own the securities owned directly by BVF2. As the investment manager of BVF2, Partners may be deemed to beneficially own the securities owned directly by BVF2. As the investment adviser and general partner of Partners, BVF Inc. may be deemed to beneficially own the securities owned directly by BVF2. As a director and officer of BVF Inc., Mr. Lampert may be deemed to beneficially own the securities owned directly by BVF2. |
| F4 | Securities owned directly by Trading Fund OS. As the general partner of Trading Fund OS, Partners OS may be deemed to beneficially own the securities owned directly by Trading Fund OS. As the investment manager of Trading Fund OS and the sole member of Partners OS, Partners may be deemed to beneficially own the securities owned directly by Trading Fund OS. As the investment adviser and general partner of Partners, BVF Inc. may be deemed to beneficially own the securities owned directly by Trading Fund OS. As a director and officer of BVF Inc., Mr. Lampert may be deemed to beneficially own the securities owned directly by Trading Fund OS. |
| F5 | Securities held in certain Partners managed accounts (the "Partners Managed Accounts"). Partners, as the investment manager of the Partners Managed Accounts, may be deemed to beneficially own the securities held by the Partners Managed Accounts. As the investment adviser and general partner of Partners, BVF Inc. may be deemed to beneficially own the securities held by the Partners Managed Accounts. As a director and officer of BVF Inc., Mr. Lampert may be deemed to beneficially own the securities held by the Partners Managed Accounts. |
| F6 | The Series X Convertible Preferred Stock may not be exercised if, after such exercise, the Reporting Persons would beneficially own, as determined in accordance with Section 13(d), more than 19.99% of the shares of Common Stock outstanding immediately after giving effect to such exercise. The Series X Convertible Preferred Stock does not have an expiration date. The initial conversion price is $4.03 and is subject to certain adjustments pursuant to the Certificate of Designation of Preferences, Rights and Limitations of Series X Convertible Preferred Stock. |