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XOMA Royalty Corp — Director's Dealing 2015
Jun 1, 2015
33020_dirs_2015-06-01_776ba5e3-a156-49a4-9672-63c0d006314d.zip
Director's Dealing
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SEC Form 4 — Statement of Changes in Beneficial Ownership
Issuer: XOMA Corp (XOMA)
CIK: 0000791908
Period of Report: 2015-05-28
Reporting Person: RUBIN PAUL D (Sr. VP Clinical Dev. & CMO)
Non-Derivative Transactions
| Date | Security | Code | Shares | Price | A/D | Holdings After | Ownership |
|---|---|---|---|---|---|---|---|
| 2015-05-28 | Common Shares | M | 4666.0 | — | Acquired | 124133 | Direct |
| 2015-05-28 | Common Shares | S | 1788.0 | $3.6 | Disposed | 122345 | Direct |
Derivative Transactions
| Date | Security | Exercise Price | Code | Shares | A/D | Expiration | Underlying | Ownership |
|---|---|---|---|---|---|---|---|---|
| 2015-05-28 | Restricted Stock Units | $0.0 | M | 4666.0 | Disposed | 2015-05-28 | Common Shares (4666) | Direct |
Holdings (Non-Derivative)
| Security | Shares | Ownership |
|---|---|---|
| Common Shares | 6881 | Indirect |
Footnotes
F1: These restricted stock units are scheduled to vest in substantially equal installments annually over three years, with the first installment vesting on May 28, 2013.
F2: Each restricted stock unit represents the right to receive, upon vesting, one share of common stock. This nondiscretionary transaction represents the vesting of restricted stock units as shares of common stock.
F3: Shares sold on the open market to satisfy the minimum amount of taxes required to be withheld in connection with the vesting of the shares in a non-discretionary transaction pursuant to the reporting person's agreement under the Company's equity incentive plan.