Key facts
- This page summarizes James R. Neal's Form 4 filing for XOMA Corp (XOMA).
- 5 reported transactions and 1 derivative row are listed below.
- Accepted by SEC: 18 Jul 2022, 16:30.
James R. Neal - 15 Jul 2022 Form 4 Insider Report for XOMA Corp (XOMA)
- Reporting relationship
- CEO, Director
- Issuer ticker
- XOMA
- Reported as of
- 15 Jul 2022
- Net transaction value
- -$645,354
- SEC form
- 4
- Accepted by SEC
- 18 Jul 2022, 16:30:18 UTC
- Prior SEC filing
- 23 Mar 2022
- Next SEC filing
- 21 Jul 2022
- Source filing
- View source filing
- Reporting owner signature
- /s/ James R. Neal
Source evidence
Original filing metadata and source links for verification.
5 source fields
Reporting owner
1 detail
Key filing fact
James R. Neal filed Form 4 for XOMA Corp (XOMA) on 18 Jul 2022.
Change
- Previous filing in this sequence was filed on 23 Mar 2022.
- Current net transaction value: -$645,354.
Research use
- This tells you what this filing adds before you inspect full transaction and derivative tables.
- You can trace every row back to the original SEC filing document.
Evidence
Filed on Form 4
View source filing
Ownership activity is grounded in SEC Form 4 disclosures.
Reported non-derivative transactions
Shares, units, or other non-derivative securities reported in this filing.
XOMA
transaction
Common Stock
Options Exercise
- Transaction value
- $100,750
- Shares
- +25,000
- Change %
- +211%
- Price
- $4.03*
- Shares after
- 36,822
- Date
- 15 Jul 2022
- Ownership
- Direct
XOMA
transaction
Common Stock
Sale
- Transaction value
- $617,095
- Shares
- -20,883
- Change %
- -57%
- Price
- $29.55
- Shares after
- 15,939
- Date
- 15 Jul 2022
- Ownership
- Direct
- Footnotes
- F1, F2
XOMA
transaction
Common Stock
Sale
- Transaction value
- $100,175
- Shares
- -3,212
- Change %
- -20%
- Price
- $31.19
- Shares after
- 12,727
- Date
- 15 Jul 2022
- Ownership
- Direct
- Footnotes
- F1, F3
XOMA
transaction
Common Stock
Sale
- Transaction value
- $28,834
- Shares
- -905
- Change %
- -7.1%
- Price
- $31.86
- Shares after
- 11,822
- Date
- 15 Jul 2022
- Ownership
- Direct
- Footnotes
- F1, F4
XOMA
holding
Common Stock
No transaction description listed
- Transaction value
- Shares
- Change %
- Price
- Shares after
- 5,560
- Date
- 15 Jul 2022
- Ownership
- By 401(k) Plan
XOMA
holding
Depositary Shares - 8.375% B Cumulative Stock
No transaction description listed
- Transaction value
- Shares
- Change %
- Price
- Shares after
- 8,000
- Date
- 15 Jul 2022
- Ownership
- By spouse
XOMA
holding
8.625% Series A Cumulative Perpetual Preferred Stock
No transaction description listed
- Transaction value
- Shares
- Change %
- Price
- Shares after
- 8,000
- Date
- 15 Jul 2022
- Ownership
- By spouse
Reported derivative securities
Options, warrants, convertible securities, or similar derivative positions disclosed in the filing.
XOMA
transaction
Derivative
Stock Option (Right to Buy)
Options Exercise
- Transaction value
- $0
- Shares
- -25,000
- Change %
- -10%
- Price
- $0.000000
- Shares after
- 218,056
- Date
- 15 Jul 2022
- Ownership
- Direct
- Underlying class
- Common Stock
- Underlying amount
- 25,000
- Exercise price
- $4.03
- Footnotes
- F5
* marks a reported price that did not pass the local price check.
Additional SEC filing notes
Filing notes and footnotes
Explanation of responses 5 footnotes
Footnote F1
The sales reported on this Form 4 were effected pursuant to a trading plan adopted by the reporting person pursuant to Rule 10b5-1 under the Securities Exchange Act of 1934, as amended.
Footnote F2
The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $29.25 to $30.04, 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.
Footnote F3
The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $30.53 to $31.52, 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.
Footnote F4
The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $31.53 to $32.00, 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.
Footnote F5
Shares subject to this option have fully vested as of February 10, 2020.