Hughes Owen's Form 4 filing
XOMA Royalty Corp (XOMA) · filed Nov 13, 2024
- Accession no.
- 0001214659-24-018899
- Filed
- Nov 13, 2024
- Trade date
- Nov 11-13, 2024
- Filing delay
- 2 days
- Rule 10b5-1 plan
- Not checked
This filing lists 2 non-derivative transactions and 1 derivative transaction. Open-market sales total $655.3K. It was filed 2 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 |
|---|---|
| Hughes OwenCIK 0001575933 | Director, Officer (Chief Executive Officer) |
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 |
|---|---|---|---|---|---|---|---|---|
| Nov 11, 2024 | Common Stock | MOption exerciseAcquired | +53,360 | $0.00 | $0 | 56,860 | Direct | |
| Nov 13, 2024 | Common Stock | SSaleDisposed | −21,881 | $29.95F2 | −$655,335.95 | 34,979 | Direct |
Derivative securities (Table II)
Options, warrants, restricted stock units and similar. Shares are the underlying shares; price and value are for the derivative itself, and the holding after is in derivative units.
| Trade date | Security | Transaction | Underlying shares | Unit price | Value | Held after | Ownership | Flags |
|---|---|---|---|---|---|---|---|---|
| Nov 11, 2024 | Common Stock | MOption exerciseDisposed | −53,360 | $0.00 | $0 | 221,640 | 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.
- F2
The price reported represents the weighted average sale price of the shares. The shares were sold in multiple transactions at prices ranging from $29.93 to $30.38 per share. Upon request by the Commission staff, the Issuer, or a security holder of the Issuer, the Reporting Person will provide full information regarding the number of shares sold at each separate price.
Referenced by the price of 1 transaction in Table I.