Biotechnology Value Fund L P's Form 4 filing
XOMA Royalty Corp (XOMA) · filed Jan 9, 2023
- Accession no.
- 0000921895-23-000078
- Filed
- Jan 9, 2023, 5:44 PM ET
- Trade date
- Jan 5-6, 2023
- Filing delay
- 4 days
- Rule 10b5-1 plan
- Not on the form (before 2023)
This filing lists 4 non-derivative transactions. Open-market purchases total $420.7K. It was filed 4 days after the trade.
Reporting owners
A Form 4 can have several reporting owners, such as a person and a fund they control. Trade tables show the first one.
| Owner | Relationship to the company |
|---|---|
| Biotechnology Value Fund L PCIK 0000918923 | Director, 10% Owner |
| BVF Partners L PCIK 0001055947 | Director, 10% Owner, Other: See Remarks |
| BVF IncCIK 0001056807 | Director, 10% Owner |
| Biotechnology Value Fund II LPCIK 0001102444 | Director, 10% Owner |
| Lampert Mark NCIK 0001233840 | Director, 10% Owner |
| Biotechnology Value Trading Fund OS LPCIK 0001660683 | Director, Other: See Explanation of Responses |
| BVF Partners OS Ltd.CIK 0001660684 | Director, Other: See Explanation of Responses |
| BVF I GP LLCCIK 0001803805 | Director, 10% Owner |
| BVF II GP LLCCIK 0001803806 | Director, 10% Owner |
| BVF GP Holdings LLCCIK 0001803809 | Director, 10% Owner |
Non-derivative securities (Table I)
Acquisitions and disposals of common stock and similar shares, one row per line on the filing.
| Trade date | Security | Transaction | Shares | Price | Value | Shares after | Ownership | Flags |
|---|---|---|---|---|---|---|---|---|
| Jan 5, 2023 | Common Stock, $0.0075 par value per share | PPurchaseAcquired | +3,330 | $18.39 | +$61,222.72 | 1,788,168 | Direct | |
| Jan 6, 2023 | Common Stock, $0.0075 par value per share | PPurchaseAcquired | +1,676 | $21.98 | +$36,841.33 | 1,789,844 | Direct | |
| Jan 5, 2023 | Common Stock, $0.0075 par value per share | PPurchaseAcquired | +15,670 | $18.39 | +$288,096.08 | 1,617,064 | Direct | |
| Jan 6, 2023 | Common Stock, $0.0075 par value per share | PPurchaseAcquired | +1,573 | $21.98 | +$34,577.21 | 1,618,637 | Direct |
Footnotes and remarks
Livermore keeps the footnotes that transaction prices refer to, all footnotes of amendments (Form 4/A) and the filing's remarks. Other footnotes, such as how indirect holdings are held or the details of a trading plan, are only in the original on SEC EDGAR.
No transaction price on this filing refers to a footnote.
Remarks
For purposes of Section 16 of the Securities Exchange Act of 1934, as amended, each of the Reporting Persons may be deemed to be a director by deputization of the Issuer due to a member of Partners, Matthew D. Perry, serving on the Board of Directors of the Issuer, and his agreement to transfer the economic benefit, if any, received upon the sale of the shares issuable upon exercise of the securities reported owned herein to Partners.