Accession Number: | 0001214659-21-004155 |
Date: | 2021-04-09 |
Issuer: | XOMA CORP (XOMA) |
Original Submission Date: |
NEAL JAMES R
C/O XOMA CORPORATION
2200 POWELL STREET, SUITE 310
EMERYVILLE, CA 94608
Title of Security | Transaction Date | 2a. Deemed Execution Date | Transaction Code | Shares | Acquired or Disposed | Price per share | 5. Amount of Securities Beneficially Owned Following Reported Transaction | 6. Ownership Form Direct or Indirect | Nature 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 |
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 Exercisable | Expiration 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 |
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ID | footnote |
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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. |