Form 4 XOMA Corp For: Nov 01 Filed by: Neal James R
November 3, 2016 7:38 PM EDT
FORM
4 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549
STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP
Filed pursuant to Section 16(a) of the Securities
Exchange Act of 1934 or Section 30(h) of the Investment Company Act of
1940
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OMB APPROVAL |
OMB Number: |
3235-0287 |
Expires: |
December 31, 2014 |
Estimated average burden |
hours per response: |
0.5 |
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Check this box if no longer subject to Section 16. Form 4 or Form 5
obligations may continue.
See
Instruction 1(b).
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1. Name and Address of Reporting Person
*
(Street)
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2. Issuer Name
and
Ticker or Trading Symbol
XOMA Corp
[
XOMA
]
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5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
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Director |
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10% Owner |
X |
Officer (give title below) |
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Other (specify below) |
VP Business Development |
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3. Date of Earliest Transaction
(Month/Day/Year) 11/01/2016
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4. If Amendment, Date of Original Filed
(Month/Day/Year)
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6. Individual or Joint/Group Filing (Check
Applicable Line)
X |
Form filed by One Reporting Person |
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Form filed by More than One Reporting
Person |
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Table I - Non-Derivative Securities Acquired, Disposed of, or
Beneficially Owned |
1.
Title of Security (Instr.
3)
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2.
Transaction Date
(Month/Day/Year) |
2A.
Deemed Execution Date, if any
(Month/Day/Year) |
3.
Transaction Code (Instr.
8)
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4.
Securities Acquired (A) or Disposed Of (D) (Instr.
3, 4 and 5)
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5.
Amount of Securities Beneficially Owned Following Reported
Transaction(s) (Instr.
3 and 4)
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6.
Ownership Form: Direct (D) or Indirect (I) (Instr.
4)
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7.
Nature of Indirect Beneficial Ownership (Instr.
4)
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Code |
V |
Amount |
(A) or (D) |
Price |
Common Shares
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11/01/2016 |
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S |
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150
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D
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$
5.25
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20,541
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D
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Common Shares
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659
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I
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by 401(k)
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Table II - Derivative Securities Acquired, Disposed of, or Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities)
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1. Title of Derivative Security (Instr.
3)
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2. Conversion or Exercise Price of Derivative Security
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3. Transaction Date
(Month/Day/Year) |
3A. Deemed Execution Date, if any
(Month/Day/Year) |
4. Transaction Code (Instr.
8)
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5.
Number of Derivative Securities Acquired (A) or Disposed of (D) (Instr.
3, 4 and 5)
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6. Date Exercisable and Expiration Date
(Month/Day/Year) |
7. Title and Amount of Securities Underlying Derivative Security (Instr.
3 and 4)
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8. Price of Derivative Security (Instr.
5)
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9.
Number of derivative Securities Beneficially Owned Following Reported Transaction(s) (Instr.
4)
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10. Ownership Form: Direct (D) or Indirect (I) (Instr.
4)
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11. Nature of Indirect Beneficial Ownership (Instr.
4)
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Code |
V |
(A) |
(D) |
Date Exercisable |
Expiration Date |
Title |
Amount or Number of Shares |
Explanation of Responses: |
|
Denis Quinlan For: James R. Neal |
11/03/2016 |
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** Signature of Reporting Person |
Date |
Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. |
* If the form is filed by more than one reporting person,
see
Instruction
4
(b)(v). |
** Intentional misstatements or omissions of facts constitute Federal Criminal Violations
See
18 U.S.C. 1001 and 15 U.S.C. 78ff(a). |
Note: File three copies of this Form, one of which must be manually signed. If space is insufficient,
see
Instruction 6 for procedure. |
Persons who respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB Number. |
Exhibit 24
POWER OF ATTORNEY
I appoint each of John Varian, Thomas Bums, Denis Quinlan and
Diane Wilcock, signing singly, as my attorneys-in-fact to:
1) prepare, execute in my name and on my behalf, and submit to
the U.S. Securities and Exchange Commission ("SEC") a Form ID,
including amendments, and any other documents necessary to obtain
codes and passwords enabling me to make electronic filings with the
SEC of reports required by Section 16(a) of the Securities Exchange
Act of 1934, as amended ("Exchange Act"), or any rule or regulation
of the SEC;
2) execute on my behalf Forms 3, 4 or 5 and any amendments under
Section 16 of the Exchange Act, and its rules and regulations;
3) perform all acts on my behalf which may be necessary to
complete the execution and filing of any such Form 3, 4 or 5 with
the SEC and any other authority; and
4) take any other action in connection with the above which, in
the opinion of such attorney-in-fact, may be of benefit to me, in my
best interest of, or legally required of me, it being understood
that the documents executed by such attorneys-in-fact on my behalf
under this Power of Attorney shall be in such form and shall contain
such terms and conditions as such attorneys-in-fact may approve in
their sole discretion.
I grant to each attorney-in-fact full power and authority to perform
every act necessary in the exercise of any of the rights and powers
granted, as fully as I might do if personally present, with full power of
substitution or revocation, ratifying and confirming all that such
attorneys-in? fact, or their substitutes, shall lawfully do or cause to be
done by virtue of this power of attorney and the rights and powers
granted. I acknowledge that the above attorneys-in-fact, in serving in
such capacity at my request, are not assuming any of my responsibilities
to comply with Section
16 of the Exchange Act.
This power of attorney shall remain in effect until I am no longer
required to file Forms 3, 4 and 5 with respect to my holdings of and
transactions in securities issued by XOMA Corporation or its subsidiaries or
successors, unless earlier revoked by me in a signed writing delivered to the
above attorneys-in-fact.
//James R. Neal//
____________________________________
James R. Neal
October.24.2016 Date
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