James R Neal
Insider
First SEC filing: May 22, 2017 · Latest: May 22, 2017
Insider at
Insider transactions
5 buys (P)
0 sells (S)
Net: $4,230
Avg return of open purchases vs close of 2026-10-23: -28.7%
Price change vs the latest weekly close (updated to the current quote in your browser when available), split-adjusted for corporate actions since the filing — not benchmarked, not annualized, not size-weighted
| Date | Ticker | Code | Shares | Price | Value | Owned after | Δ own | A/D | vs now |
|---|---|---|---|---|---|---|---|---|---|
| July 26, 2026 | PCSA | A | 62,221 | · | · | 67,470 Direct | +1185.39% | Acquired | |
| June 26, 2026 | PCSA | M | 203 | · | · | 1,021 Direct | +24.82% | Acquired | |
| June 26, 2026 | PCSA | M | 203 | · | · | 5,249 Direct | -3.72% | Disposed | |
| March 31, 2026 | PCSA | P | 789 | $2.54 | $2,004 | 818 Direct | +2720.69% | Acquired | -28.7% (price as of ) |
| Dec. 16, 2025 | AKTX | P | 2,473 | · | · | 2,473 Direct | · | Acquired | |
| Dec. 16, 2025 | AKTX | P | 2,473 | $0.40 | $989 | 2,473 Direct | · | Acquired | |
| Dec. 16, 2025 | AKTX | P | 3,093 | · | · | 3,093 Direct | · | Acquired | |
| Dec. 16, 2025 | AKTX | P | 3,093 | $0.40 | $1,237 | 3,093 Direct | · | Acquired | |
| Oct. 1, 2025 | PCSA | A | 100,000 | · | · | 100,000 Direct | · | Acquired | |
| Oct. 1, 2025 | PCSA | A | 300,000 | · | · | 300,000 Direct | · | Acquired | |
| July 24, 2025 | PCSA | A | 175,299 | · | · | 206,505 Direct | +561.75% | Acquired | |
| March 20, 2025 | AKTX | A | 175,000 | · | · | 175,000 Direct | · | Acquired | |
| March 20, 2025 | AKTX | A | 225,000 | · | · | 225,000 Direct | · | Acquired | |
| March 6, 2025 | AKTX | A | 4,464 | $1.12 | $5,000 | 36,271 Direct | +14.03% | Acquired | -81.6% (price as of ) |
| March 6, 2025 | AKTX | A | 4,464 | $1.12 | $5,000 | 4,464 Direct | · | Acquired | |
| March 6, 2025 | AKTX | A | 4,464 | $1.12 | $5,000 | 4,464 Direct | · | Acquired | |
| Jan. 9, 2025 | AKTX | A | 8,000,000 | · | · | 32,216,000 Direct | +33.04% | Acquired | |
| Dec. 23, 2024 | AKTX | A | 2,000,000 | · | · | 24,216,000 Direct | +9.00% | Acquired | |
| Sept. 3, 2024 | PCSA | A | 31,206 | · | · | 36,275 Direct | +615.62% | Acquired | |
| Sept. 3, 2024 | PCSA | A | 31,206 | · | · | 31,206 Direct | · | Acquired | |
| Feb. 9, 2024 | PALI | M | 5,100 | · | · | 5,100 Direct | · | Acquired | |
| Feb. 9, 2024 | PALI | M | 5,820 | · | · | 10,920 Direct | +114.12% | Acquired | |
| Feb. 9, 2024 | PALI | M | 5,100 | · | · | 0 Direct | -100.00% | Disposed | |
| Feb. 9, 2024 | PALI | M | 5,820 | · | · | 0 Direct | -100.00% | Disposed | |
| Feb. 9, 2024 | PALI | M | 12,160 | · | · | 0 Direct | -100.00% | Disposed | |
| Feb. 9, 2024 | PALI | M | 12,160 | · | · | 12,160 Direct | · | Acquired | |
| Feb. 9, 2024 | PALI | M | 6,880 | · | · | 0 Direct | -100.00% | Disposed | |
| Feb. 9, 2024 | PALI | M | 6,880 | · | · | 6,880 Direct | · | Acquired | |
| Nov. 21, 2023 | PALI | A | 5,820 | · | · | 5,820 Direct | · | Acquired | |
| Nov. 21, 2023 | PALI | A | 6,880 | · | · | 6,880 Direct | · | Acquired | |
| June 27, 2023 | PCSA | M | 14,407 | · | · | 14,407 Direct | · | Acquired | |
| June 27, 2023 | PCSA | M | 14,407 | · | · | 0 Direct | -100.00% | Disposed | |
| June 27, 2023 | PCSA | A | 101,365 | · | · | 101,365 Direct | · | Acquired | |
| June 11, 2023 | PALI | A | 5,100 | · | · | 5,100 Direct | · | Acquired | |
| June 11, 2023 | PALI | A | 12,160 | · | · | 12,160 Direct | · | Acquired | |
| July 19, 2022 | PCSA | A | 17,797 | · | · | 17,797 Direct | · | Acquired | |
| July 15, 2022 | XOMA | M | 25,000 | $4.03 | $100,750 | 36,822 Direct | +211.47% | Acquired | |
| July 15, 2022 | XOMA | S 10b5-1 | 20,883 | $29.55 | $617,093 | 15,939 Direct | -56.71% | Disposed | |
| July 15, 2022 | XOMA | S 10b5-1 | 3,212 | $31.19 | $100,182 | 12,727 Direct | -20.15% | Disposed | |
| July 15, 2022 | XOMA | S 10b5-1 | 905 | $31.86 | $28,833 | 11,822 Direct | -7.11% | Disposed | |
| July 15, 2022 | XOMA | M | 25,000 | · | · | 218,056 Direct | -10.29% | Disposed | |
| March 23, 2022 | XOMA | M | 1,111 | $4.03 | $4,477 | 12,933 Direct | +9.40% | Acquired | |
| March 23, 2022 | XOMA | S | 1,111 | $30.02 | $33,352 | 11,822 Direct | -8.59% | Disposed | |
| March 23, 2022 | XOMA | M | 1,111 | · | · | 102,800 Direct | -1.07% | Disposed | |
| March 22, 2022 | XOMA | M | 2,339 | $4.03 | $9,426 | 14,161 Direct | +19.79% | Acquired | |
| March 22, 2022 | XOMA | S | 2,339 | $30.02 | $70,217 | 11,822 Direct | -16.52% | Disposed | |
| March 22, 2022 | XOMA | M | 2,339 | · | · | 103,911 Direct | -2.20% | Disposed | |
| March 21, 2022 | XOMA | M | 50,000 | $4.03 | $201,500 | 61,822 Direct | +422.94% | Acquired | |
| March 21, 2022 | XOMA | S | 50,000 | $29.00 | $1,450,000 | 11,822 Direct | -80.88% | Disposed | |
| March 21, 2022 | XOMA | M | 50,000 | · | · | 106,250 Direct | -32.00% | Disposed | |
| Dec. 21, 2021 | XOMA | A | 60,000 | · | · | 60,000 Direct | · | Acquired | |
| Nov. 18, 2021 | PALI | A | 48,340 | · | · | 48,340 Direct | · | Acquired | |
| June 25, 2021 | XOMA | S | 7,170 | $33.36 | $239,191 | 13,679 Direct | -34.39% | Disposed | |
| June 25, 2021 | XOMA | S | 1,171 | $34.30 | $40,165 | 12,508 Direct | -8.56% | Disposed | |
| June 25, 2021 | XOMA | S | 686 | $35.13 | $24,099 | 11,822 Direct | -5.48% | Disposed | |
| April 27, 2021 | PALI | A | 849 | · | · | 849 Direct | · | Acquired | |
| April 27, 2021 | PALI | A | 3,398 | · | · | 3,398 Direct | · | Acquired | |
| April 27, 2021 | PALI | A | 1,359 | · | · | 1,359 Direct | · | Acquired | |
| April 27, 2021 | PALI | A | 5,091 | · | · | 5,091 Direct | · | Acquired | |
| April 27, 2021 | PALI | A | 1,298 | · | · | 1,298 Direct | · | Acquired | |
| April 27, 2021 | PALI | A | 4,406 | · | · | 4,406 Direct | · | Acquired | |
| April 9, 2021 | XOMA | A | 8,000 | $25.00 | $200,000 | 8,000 Indirect | · | Acquired | |
| Feb. 17, 2021 | XOMA | A | 60,268 | · | · | 60,268 Direct | · | Acquired | |
| Dec. 15, 2020 | XOMA | M | 26,000 | $5.50 | $143,000 | 46,849 Direct | +124.71% | Acquired | |
| Dec. 15, 2020 | XOMA | S 10b5-1 | 20,294 | $41.15 | $835,098 | 26,555 Direct | -43.32% | Disposed | |
| Dec. 15, 2020 | XOMA | S 10b5-1 | 5,706 | $42.04 | $239,880 | 20,849 Direct | -21.49% | Disposed | |
| Dec. 15, 2020 | XOMA | A | 8,000 | $25.00 | $200,000 | 8,000 Indirect | · | Acquired | |
| Dec. 15, 2020 | XOMA | M | 26,000 | · | · | 0 Direct | -100.00% | Disposed | |
| Nov. 23, 2020 | XOMA | M | 13,126 | $5.50 | $72,193 | 33,975 Direct | +62.96% | Acquired | |
| Nov. 23, 2020 | XOMA | S 10b5-1 | 13,126 | $32.96 | $432,633 | 20,849 Direct | -38.63% | Disposed | |
| Nov. 23, 2020 | XOMA | M | 13,126 | · | · | 26,000 Direct | -33.55% | Disposed | |
| Nov. 20, 2020 | XOMA | M | 6,874 | $5.50 | $37,807 | 27,723 Direct | +32.97% | Acquired | |
| Nov. 20, 2020 | XOMA | S 10b5-1 | 6,448 | $32.46 | $209,302 | 21,275 Direct | -23.26% | Disposed | |
| Nov. 20, 2020 | XOMA | S 10b5-1 | 426 | $33.35 | $14,207 | 20,849 Direct | -2.00% | Disposed | |
| Nov. 20, 2020 | XOMA | M | 6,874 | · | · | 39,126 Direct | -14.94% | Disposed | |
| Nov. 5, 2020 | XOMA | M | 10,000 | $5.50 | $55,000 | 30,849 Direct | +47.96% | Acquired | |
| Nov. 5, 2020 | XOMA | S 10b5-1 | 9,273 | $25.90 | $240,171 | 21,576 Direct | -30.06% | Disposed | |
| Nov. 5, 2020 | XOMA | S 10b5-1 | 727 | $27.50 | $19,992 | 20,849 Direct | -3.37% | Disposed | |
| Nov. 5, 2020 | XOMA | M | 10,000 | · | · | 46,000 Direct | -17.86% | Disposed | |
| March 23, 2020 | XOMA | P | 1,000 | $14.50 | $14,500 | 20,849 Direct | +5.04% | Acquired | |
| March 20, 2020 | XOMA | P | 1,000 | $16.41 | $16,410 | 19,849 Direct | +5.31% | Acquired | |
| March 13, 2020 | XOMA | A | 66,200 | · | · | 66,200 Direct | · | Acquired | |
| Dec. 23, 2019 | XOMA | X | 1,180 | $22.00 | $25,960 | 18,849 Direct | +6.68% | Acquired | |
| Dec. 23, 2019 | XOMA | X | 1,180 | · | · | 0 Direct | -100.00% | Disposed | |
| Nov. 6, 2019 | XOMA | M | 4,348 | $5.50 | $23,914 | 22,017 Direct | +24.61% | Acquired | |
| Nov. 6, 2019 | XOMA | S 10b5-1 | 4,348 | $22.00 | $95,656 | 17,669 Direct | -19.75% | Disposed | |
| Nov. 6, 2019 | XOMA | M | 4,348 | · | · | 56,000 Direct | -7.20% | Disposed | |
| Sept. 20, 2019 | XOMA | M | 5,452 | $5.50 | $29,986 | 23,121 Direct | +30.86% | Acquired | |
| Sept. 20, 2019 | XOMA | S 10b5-1 | 5,452 | $20.23 | $110,294 | 17,669 Direct | -23.58% | Disposed | |
| Sept. 20, 2019 | XOMA | M | 5,452 | · | · | 60,348 Direct | -8.29% | Disposed | |
| Sept. 19, 2019 | XOMA | M | 6,370 | $5.50 | $35,035 | 24,039 Direct | +36.05% | Acquired | |
| Sept. 19, 2019 | XOMA | S 10b5-1 | 3,728 | $20.69 | $77,132 | 20,311 Direct | -15.51% | Disposed | |
| Sept. 19, 2019 | XOMA | S 10b5-1 | 2,642 | $21.73 | $57,411 | 17,669 Direct | -13.01% | Disposed | |
| Sept. 19, 2019 | XOMA | M | 6,370 | · | · | 65,800 Direct | -8.83% | Disposed | |
| Sept. 18, 2019 | XOMA | M | 3,830 | $5.50 | $21,065 | 21,499 Direct | +21.68% | Acquired | |
| Sept. 18, 2019 | XOMA | S 10b5-1 | 3,830 | $21.96 | $84,107 | 17,669 Direct | -17.81% | Disposed | |
| Sept. 18, 2019 | XOMA | M | 3,830 | · | · | 72,170 Direct | -5.04% | Disposed | |
| Feb. 13, 2019 | XOMA | A | 60,000 | · | · | 60,000 Direct | · | Acquired | |
| Dec. 20, 2018 | XOMA | X | 678 | $13.00 | $8,814 | 21,011 Direct | +3.33% | Acquired | |
| Dec. 20, 2018 | XOMA | X | 678 | · | · | 0 Direct | -100.00% | Disposed |
Loaded 100 of 142 rows
P = Open-market purchase · S = Sale · A = Grant/award · M = Option exercise · G = Gift · F = Tax withholding
Insider transactions are not a recommendation; sales are often driven by liquidity or tax reasons.
Derivative holdings (Form 4 Table II) Options, RSUs and convertible securities reported on Form 4 Table II.
| Date | Ticker | Security | Underlying | Exercise price | Expiration | Shares | A/D |
|---|---|---|---|---|---|---|---|
| July 26, 2026 | PCSA | Restricted Stock Units | Common Stock | $0.00 | · | 62,221 | Acquired |
| June 26, 2026 | PCSA | Restricted Stock | Common Stock | $0.00 | · | 203 | Disposed |
| Dec. 16, 2025 | AKTX | Warrants to purchase American Depositary Shares ("ADRs") [F1,F2] | American Depositary Shares representing Ordinary Shares | $0.39 | · | 2,473 | Acquired |
| Dec. 16, 2025 | AKTX | Pre-Funded Warrants to purchase ADRs [F1,F2] | American Depositary Shares representing Ordinary Shares | · | · | 2,473 | Acquired |
| Dec. 16, 2025 | AKTX | Warrants to purchase ADRs [F1,F5] | American Depositary Shares representing Ordinary Shares | $0.39 | · | 3,093 | Acquired |
| Dec. 16, 2025 | AKTX | Pre-Funded Warrants to purchase ADRs [F1,F5] | American Depositary Shares representing Ordinary Shares | · | · | 3,093 | Acquired |
| Oct. 1, 2025 | PCSA | Restricted Stock Units | Common Stock | $0.00 | · | 100,000 | Acquired |
| Oct. 1, 2025 | PCSA | Stock Options (Right to Buy) | Common Stock | $0.20 | · | 300,000 | Acquired |
| July 24, 2025 | PCSA | Restricted Stock | Common Stock | $0.00 | · | 175,299 | Acquired |
| March 20, 2025 | AKTX | Stock Option (Right to Buy) | American Depositary Shares representing Ordinary Shares [F1] | $1.50 | March 20, 2035 | 175,000 | Acquired |
| March 20, 2025 | AKTX | Stock Option (Right to Buy) | American Depositary Shares representing Ordinary Shares [F1] | $1.50 | March 20, 2035 | 225,000 | Acquired |
| March 6, 2025 | AKTX | Series A Warrants (Right to Buy) | American Depositary Shares representing Ordinary Shares [F1] | $0.87 | March 6, 2026 | 4,464 | Acquired |
| March 6, 2025 | AKTX | Series B Warrants (Right to Buy) | American Depositary Shares representing Ordinary Shares [F1] | $0.87 | March 6, 2030 | 4,464 | Acquired |
| Sept. 3, 2024 | PCSA | Restricted Stock | Common Stock | $0.00 | · | 31,206 | Acquired |
| Sept. 3, 2024 | PCSA | Restricted Stock | Common Stock | $0.00 | · | 31,206 | Acquired |
| Feb. 9, 2024 | PALI | Restricted Stock Units [F3] | Common Stock | · | · | 5,100 | Disposed |
| Feb. 9, 2024 | PALI | Restricted Stock Units [F4] | Common Stock | · | · | 5,820 | Disposed |
| Feb. 9, 2024 | PALI | Common Stock Options [F6,F7] | Common Stock | $1.60 | June 11, 2033 | 12,160 | Disposed |
| Feb. 9, 2024 | PALI | Common Stock Options [F6,F7] | Common Stock | $1.60 | June 11, 2033 | 12,160 | Acquired |
| Feb. 9, 2024 | PALI | Common Stock Options [F6,F8] | Common Stock | $0.59 | Nov. 21, 2033 | 6,880 | Disposed |
| Feb. 9, 2024 | PALI | Common Stock Options [F6,F8] | Common Stock | $0.59 | Nov. 21, 2033 | 6,880 | Acquired |
| Nov. 21, 2023 | PALI | Restricted Stock Units [F1,F2,F3] | Common Stock | · | · | 5,820 | Acquired |
| Nov. 21, 2023 | PALI | Common Stock Options [F1,F2,F5] | Common Stock | $0.59 | Nov. 21, 2033 | 6,880 | Acquired |
| June 27, 2023 | PCSA | Restricted Stock | Common Stock | $0.00 | · | 14,407 | Disposed |
| June 27, 2023 | PCSA | Restricted Stock | Common Stock | $0.00 | · | 101,365 | Acquired |
| June 11, 2023 | PALI | Restricted Stock Units [F1,F3] | Common Stock | · | · | 5,100 | Acquired |
| June 11, 2023 | PALI | Common Stock Options [F1,F2,F5] | Common Stock | $1.60 | June 11, 2033 | 12,160 | Acquired |
| July 19, 2022 | PCSA | Restricted Stock | Common Stock | $0.00 | · | 17,797 | Acquired |
| July 15, 2022 | XOMA | Stock Option (Right to Buy) | Common Stock | $4.03 | Feb. 10, 2027 | 25,000 | Disposed |
| March 23, 2022 | XOMA | Stock Option (Right to Buy) | Common Stock | $4.03 | Feb. 10, 2027 | 1,111 | Disposed |
| March 22, 2022 | XOMA | Stock Option (Right to Buy) | Common Stock | $4.03 | Feb. 10, 2027 | 2,339 | Disposed |
| March 21, 2022 | XOMA | Stock Option (Right to Buy) | Common Stock | $4.03 | Feb. 10, 2027 | 50,000 | Disposed |
| Dec. 21, 2021 | XOMA | Non-Qualified Share Option (right to buy) | Common Shares | $22.56 | Dec. 21, 2031 | 60,000 | Acquired |
| Nov. 18, 2021 | PALI | Stock Option (right to buy) | Common Stock | $2.32 | Nov. 17, 2032 | 48,340 | Acquired |
| April 27, 2021 | PALI | Stock Option (Right to Buy) | Common Stock | $27.59 | Nov. 10, 2027 | 849 | Acquired |
| April 27, 2021 | PALI | Stock Option (Right to Buy) | Common Stock | $53.33 | April 5, 2028 | 3,398 | Acquired |
| April 27, 2021 | PALI | Stock Option (Right to Buy) | Common Stock | $53.33 | July 24, 2028 | 1,359 | Acquired |
| April 27, 2021 | PALI | Stock Option (Right to Buy) | Common Stock | $41.20 | April 25, 2029 | 5,091 | Acquired |
| April 27, 2021 | PALI | Stock Option (Right to Buy) | Common Stock | $41.20 | June 19, 2029 | 1,298 | Acquired |
| April 27, 2021 | PALI | Stock Option (Right to Buy) | Common Stock | $26.85 | July 10, 2030 | 4,406 | Acquired |
| Feb. 17, 2021 | XOMA | Non-Qualified Share Option (right to buy) | Common Shares | $38.93 | Feb. 17, 2031 | 60,268 | Acquired |
| Dec. 15, 2020 | XOMA | Stock Option (Right to Buy) | Common Stock | $5.50 | Dec. 22, 2017 | 26,000 | Disposed |
| Nov. 23, 2020 | XOMA | Stock Option (Right to Buy) | Common Stock | $5.50 | Dec. 22, 2026 | 13,126 | Disposed |
| Nov. 20, 2020 | XOMA | Stock Option (Right to Buy) | Common Stock | $5.50 | Dec. 22, 2026 | 6,874 | Disposed |
| Nov. 5, 2020 | XOMA | Stock Option (Right to Buy) | Common Stock | $5.50 | Dec. 22, 2026 | 10,000 | Disposed |
| March 13, 2020 | XOMA | Non Qualified Stock Option (right to buy) | Common Shares | $18.84 | March 13, 2030 | 66,200 | Acquired |
| Dec. 23, 2019 | XOMA | Subscription Rights (right to buy) | Common Stock | $22.00 | Dec. 18, 2019 | 1,180 | Disposed |
| Nov. 6, 2019 | XOMA | Stock Option (Right to Buy) | Common Stock | $5.50 | Dec. 22, 2026 | 4,348 | Disposed |
| Sept. 20, 2019 | XOMA | Stock Option (right to buy) | Common Stock | $5.50 | Dec. 22, 2026 | 5,452 | Disposed |
| Sept. 19, 2019 | XOMA | Stock Option (right to buy) | Common Stock | $5.50 | Dec. 22, 2026 | 6,370 | Disposed |
| Sept. 18, 2019 | XOMA | Stock Option (right to buy) | Common Stock | $5.50 | Dec. 22, 2026 | 3,830 | Disposed |
| Feb. 13, 2019 | XOMA | Non-Qualified Share Option (right to buy) | Common Shares | $14.33 | Feb. 13, 2029 | 60,000 | Acquired |
| Dec. 20, 2018 | XOMA | Subscription Rights (right to buy) | Common Shares | $13.00 | Dec. 14, 2018 | 678 | Disposed |
| April 27, 2018 | XOMA | Non-Qualified Share Option (right to buy) | Common Shares | $5.50 | Dec. 22, 2026 | 15,655 | Disposed |
| April 26, 2018 | XOMA | Non-Qualified Share Option (right to buy) | Common Shares | $5.50 | Dec. 22, 2026 | 8,345 | Disposed |
| Feb. 14, 2018 | XOMA | Non-Qualified Share Option (right to buy) | Common Shares | $27.41 | Feb. 14, 2028 | 30,000 | Acquired |
| Nov. 15, 2017 | XOMA | Non-Qualified Share Option (right to buy) | Common Shares | $4.03 | Feb. 10, 2027 | 26,145 | Disposed |
| Nov. 14, 2017 | XOMA | Non-Qualified Share Option (right to buy) | Common Shares | $4.03 | Feb. 10, 2027 | 8,583 | Disposed |
| Nov. 13, 2017 | XOMA | Non-Qualified Share Option (right to buy) | Common Shares | $4.03 | Feb. 10, 2027 | 11,568 | Disposed |
| Feb. 10, 2017 | XOMA | Non-Qualified Share Option (right to buy) | Common Shares | $4.03 | Feb. 10, 2027 | 312,500 | Acquired |
| Dec. 22, 2016 | XOMA | Non-Qualified Share Option (right to buy) | Common Shares | $5.50 | Dec. 22, 2026 | 100,000 | Acquired |
| Feb. 26, 2015 | XOMA | Non-Qualified Share Option (right to buy) | Common Shares | $3.83 | Feb. 26, 2025 | 72,500 | Acquired |
Exercise/conversion price is blank when not applicable (e.g. RSUs).
Initial ownership (Form 3) 13 holdings
Securities held when first becoming an insider, per SEC Form 3.
| Date | Ticker | Security | Shares | Ownership |
|---|---|---|---|---|
| Nov. 22, 2024 | AKTX | Ordinary Shares, par value $0.0001 per share [F1] | 22,216,000 | Direct |
| Nov. 22, 2024 | AKTX | Warrants (Right to Buy) | 19,570,000 | Direct |
| Nov. 22, 2024 | AKTX | Stock Option (Right to Buy) | 293,500,000 | Direct |
| March 3, 2014 | XOMA | Common Shares | 154,112 | Direct |
| March 3, 2014 | XOMA | Common Shares | 1,470 | Indirect |
| March 3, 2014 | XOMA | Incentive Share Option (right to buy) | 1,041 | Direct |
| March 3, 2014 | XOMA | Incentive Share Option (right to buy) | 37,296 | Direct |
| March 3, 2014 | XOMA | Non-Qualified Share Option (right to buy) | 9,758 | Direct |
| March 3, 2014 | XOMA | Non-Qualified Share Option (right to buy) | 23,563 | Direct |
| March 3, 2014 | XOMA | Non-Qualified Share Option (right to buy) | 45,751 | Direct |
| March 3, 2014 | XOMA | Non-Qualified Share Option (right to buy) | 15,625 | Direct |
| March 3, 2014 | XOMA | Non-Qualified Share Option (right to buy) | 45,000 | Direct |
| March 3, 2014 | XOMA | Non-Qualified Share Option (right to buy) | 16,037 | Direct |
Holdings reported on Form 4 42 reported holdings
Positions listed on each Form 4 without a transaction in that filing (Table I and II holdings), newest filing first.
| Date | Ticker | Security | Shares | Exercise price | Expiration | Ownership |
|---|---|---|---|---|---|---|
| July 28, 2026 | PCSA | Common Stock | 1,021 | · | · | Direct |
| July 28, 2026 | PCSA | Stock Options (Right to Buy) | 12,000 | $4.96 | · | Direct |
| March 24, 2025 | AKTX | American Depositary Shares representing Ordinary Shares [F1] | 36,271 | · | · | Direct |
| July 18, 2022 | XOMA | Common Stock | 5,560 | · | · | Indirect |
| July 18, 2022 | XOMA | Depositary Shares - 8.375% B Cumulative Stock | 8,000 | · | · | Indirect |
| July 18, 2022 | XOMA | 8.625% Series A Cumulative Perpetual Preferred Stock | 8,000 | · | · | Indirect |
| March 23, 2022 | XOMA | Common Stock | 5,560 | · | · | Indirect |
| March 23, 2022 | XOMA | Depositary Shares - 8.375% B Cumulative Stock | 8,000 | · | · | Indirect |
| March 23, 2022 | XOMA | 8.625% Series A Cumulative Perpetual Preferred Stock | 8,000 | · | · | Indirect |
| June 29, 2021 | XOMA | 8.625% Series A Cumulative Perpetual Preferred Stock | 8,000 | · | · | Indirect |
| June 29, 2021 | XOMA | Depositary Shares - 8.375% B Cumulative Stock | 8,000 | · | · | Indirect |
| June 29, 2021 | XOMA | Common Stock | 4,966 | · | · | Indirect |
| April 13, 2021 | XOMA | Common Stock | 20,849 | · | · | Direct |
| April 13, 2021 | XOMA | Common Stock | 4,966 | · | · | Indirect |
| April 13, 2021 | XOMA | 8.625% Series A Cumulative Perpetual Preferred Stock | 8,000 | · | · | Indirect |
| Dec. 17, 2020 | XOMA | Common Stock | 4,673 | · | · | Indirect |
| Nov. 24, 2020 | XOMA | Common Stock | 4,673 | · | · | Indirect |
| Nov. 6, 2020 | XOMA | Common Stock | 4,673 | · | · | Indirect |
| March 24, 2020 | XOMA | Common Shares | 4,673 | · | · | Indirect |
| March 23, 2020 | XOMA | Common Shares | 4,673 | · | · | Indirect |
| Jan. 16, 2020 | XOMA | Common Shares | 4,673 | · | · | Indirect |
| Nov. 8, 2019 | XOMA | Common Stock | 4,202 | · | · | Indirect |
| Sept. 20, 2019 | XOMA | Common Stock | 4,202 | · | · | Indirect |
| Dec. 21, 2018 | XOMA | Common Shares | 2,961 | · | · | Indirect |
| Nov. 15, 2018 | XOMA | Common Shares | 2,961 | · | · | Indirect |
| April 27, 2018 | XOMA | Common Shares | 2,961 | · | · | Indirect |
| Nov. 15, 2017 | XOMA | Common Shares | 2,961 | · | · | Indirect |
| March 23, 2017 | XOMA | Common Shares | 2,961 | · | · | Indirect |
| Feb. 1, 2017 | XOMA | Common Shares | 659 | · | · | Indirect |
| Jan. 10, 2017 | XOMA | Common Shares | 659 | · | · | Indirect |
| Nov. 3, 2016 | XOMA | Common Shares | 659 | · | · | Indirect |
| Oct. 11, 2016 | XOMA | Common Shares | 13,192 | · | · | Indirect |
| March 22, 2016 | XOMA | Common Shares | 13,192 | · | · | Indirect |
| Feb. 29, 2016 | XOMA | Common Shares | 13,192 | · | · | Indirect |
| Aug. 18, 2015 | XOMA | Common Shares | 4,471 | · | · | Indirect |
| March 20, 2015 | XOMA | Common Shares | 4,471 | · | · | Indirect |
| March 2, 2015 | XOMA | Common Shares | 4,471 | · | · | Indirect |
| Dec. 1, 2014 | XOMA | Common Shares | 1,470 | · | · | Indirect |
| Nov. 24, 2014 | XOMA | Common Shares | 1,470 | · | · | Indirect |
| Nov. 17, 2014 | XOMA | Common Shares | 1,470 | · | · | Indirect |
| Aug. 18, 2014 | XOMA | Common Shares | 1,470 | · | · | Indirect |
| March 20, 2014 | XOMA | Common Shares | 1,470 | · | · | Indirect |
Annual statements (Form 5) Transactions and holdings reported once a year on SEC Form 5 — exempt or late-reported trades, gifts and small acquisitions.
Transactions
| Date | Ticker | Security | Code | Shares | Price | Value | Owned after | Exercise price | Expiration | A/D |
|---|---|---|---|---|---|---|---|---|---|---|
| Dec. 31, 2015 | XOMA | Common Shares | J | 8,721 | $1.38 | $12,035 | 13,192 Indirect | · | · | Acquired |
| Nov. 30, 2015 | XOMA | Common Shares | J | 4,318 | $1.13 | $4,879 | 182,198 Direct | · | · | Acquired |
| June 30, 2015 | XOMA | Common Shares | J | 703 | $3.69 | $2,594 | 186,947 Direct | · | · | Acquired |
| March 31, 2015 | XOMA | Common Shares | J | 1,775 | $3.46 | $6,142 | 186,244 Direct | · | · | Acquired |
| Dec. 31, 2014 | XOMA | Common Shares | J | 758 | $3.41 | $2,585 | 140,988 Direct | · | · | Acquired |
| Dec. 31, 2014 | XOMA | Common Shares | J | 3,001 | $3.83 | $11,494 | 4,471 Indirect | · | · | Acquired |
| Sept. 30, 2014 | XOMA | Common Shares | J | 647 | $4.00 | $2,588 | 147,327 Direct | · | · | Acquired |
| June 30, 2014 | XOMA | Common Shares | J | 594 | $4.36 | $2,590 | 153,264 Direct | · | · | Acquired |
| March 31, 2014 | XOMA | Common Shares | J | 1,229 | $4.95 | $6,084 | 152,670 Direct | · | · | Acquired |
Compensation (DEF 14A)
Matched by name from proxy statements (DEF 14A) — verify against the filing.
CIK 791908
| Fiscal year | Salary | Bonus | Stock awards | Option awards | Non-equity incentive | Pension change | Other | Total |
|---|---|---|---|---|---|---|---|---|
| 2022 | $725,000 | · | · | · | $435,000 | · | $1,184,168 | $2,344,168 |
| 2021 | $593,166 | · | · | · | $260,993 | · | $23,394 | $3,510,795 |
| 2020 | $533,527 | · | · | · | $187,802 | · | $21,232 | $1,693,762 |
Figures from the Summary Compensation Table of the company's proxy statement (DEF 14A). Compensation is not a recommendation.