Form Type: 4

SEC EDGAR Link
Accession Number:0001214659-21-004155
Date:2021-04-09
Issuer: XOMA CORP (XOMA)
Original Submission Date:

Reporting Person:

NEAL JAMES R
C/O XOMA CORPORATION
2200 POWELL STREET, SUITE 310 EMERYVILLE, CA 94608

Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
Title of SecurityTransaction Date2a. Deemed Execution Date Transaction CodeSharesAcquired or DisposedPrice per share 5. Amount of Securities Beneficially Owned Following Reported Transaction 6. Ownership Form Direct or IndirectNature of Indirect Ownership
DEPOSITARY SHARES - 8.375% B CUMULATIVE STOCK 2021-04-09 A 8,000 a $25.00 8,000 indirect
COMMON STOCK 2021-04-09 0 $0.00 20,849 direct
COMMON STOCK 2021-04-09 0 $0.00 4,966 indirect
8.625% SERIES A CUMULATIVE PERPETUAL PREFERRED STOCK 2021-04-09 0 $0.00 8,000 indirect
Derivative Securities Acquired, Disposed of, or Beneficially Owned
(e.g., puts, calls, warrants, convertible securities
Title of Derivative Security Conversion or Exercise Price of Derivative Security Transaction Date Deemed Execution Date Transaction Code Number of Derivative Securities Acquired (A) or Disposed of (D) Date ExercisableExpiration Date Title and Amount of Securities Underlying Derivative Security Price of Derivative Security Number of derivative Securities Beneficially Owned Following Reported Transaction(s) Ownership Form: Direct (D) or Indirect (I) Nature of Indirect Beneficial Ownership
Footnotes
IDfootnote
f1 purchased 8,000 depositary shares, each representing 1/1000 of a share of the issuer's 8.375% series b cumulative perpetual preferred stock (the "series b preferred stock"), with liquidation preference of $25.00 per depositary share, in the issuer's public offering at the public offering price of $25.00 per share. the terms of the series b preferred stock are setforth in the certificate of designation of the 8.375% series b cumulative perpetual preferred stock of the issuer. holders of the series b preferred stock generally will have no voting rights, but will have limited voting rights if the issuer fails to pay dividends for six or more quarters (whether or not declared or consecutive) and in certain other events.
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