James R. Neal - Mar 21, 2022 Form 4 Insider Report for XOMA Corp (XOMA)

Role
CEO, Director
Signature
/s/ James R. Neal
Stock symbol
XOMA
Transactions as of
Mar 21, 2022
Transactions value $
-$1,338,403
Form type
4
Date filed
3/23/2022, 06:52 PM
Previous filing
Dec 23, 2021
Next filing
Jul 18, 2022

Transactions Table

Type Sym Class Transaction Value $ Shares Change % * Price $ Shares After Date Ownership Footnotes
transaction XOMA Common Stock Options Exercise $202K +50K +422.94% $4.03* 61.8K Mar 21, 2022 Direct
transaction XOMA Common Stock Sale -$1.45M -50K -80.88% $29.01 11.8K Mar 21, 2022 Direct
transaction XOMA Common Stock Options Exercise $9.43K +2.34K +19.79% $4.03* 14.2K Mar 22, 2022 Direct
transaction XOMA Common Stock Sale -$70.2K -2.34K -16.52% $30.02 11.8K Mar 22, 2022 Direct F1
transaction XOMA Common Stock Options Exercise $4.48K +1.11K +9.4% $4.03* 12.9K Mar 23, 2022 Direct
transaction XOMA Common Stock Sale -$33.3K -1.11K -8.59% $30.02 11.8K Mar 23, 2022 Direct F3
holding XOMA Common Stock 5.56K Mar 21, 2022 By 401(k) Plan
holding XOMA Depositary Shares - 8.375% B Cumulative Stock 8K Mar 21, 2022 By spouse
holding XOMA 8.625% Series A Cumulative Perpetual Preferred Stock 8K Mar 21, 2022 By spouse

Derivative Securities (e.g., puts, calls, warrants, options, convertible securities)

Type Sym Class Transaction Value $ Shares Change % * Price $ Shares After Date Underlying Class Amount Exercise Price Ownership Footnotes
transaction XOMA Stock Option (Right to Buy) Options Exercise $0 -50K -32% $0.00 106K Mar 21, 2022 Common Stock 50K $4.03 Direct F2
transaction XOMA Stock Option (Right to Buy) Options Exercise $0 -2.34K -2.2% $0.00 104K Mar 22, 2022 Common Stock 2.34K $4.03 Direct F2
transaction XOMA Stock Option (Right to Buy) Options Exercise $0 -1.11K -1.07% $0.00 103K Mar 23, 2022 Common Stock 1.11K $4.03 Direct F2
* An asterisk sign (*) next to the price indicates that the price is likely invalid.

Explanation of Responses:

Id Content
F1 The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $30.00 to $30.22, 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.
F2 Shares subject to this option have fully vested as of December 31, 2017.
F3 The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $30.00 to $30.115, 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.