3//SEC Filing
BVF GP HOLDINGS LLC 3
Accession 0000921895-20-000804
CIK 0000791908other
Filed
Mar 16, 8:00 PM ET
Accepted
Mar 17, 9:23 PM ET
Size
14.9 KB
Accession
0000921895-20-000804
Insider Transaction Report
Form 3
XOMA CorpXOMA
BVF GP HOLDINGS LLC
10% Owner
Holdings
Series X Convertible Preferred Stock
→ Common Stock, $0.0075 par value per share (1,506,000 underlying)- 1,103,314
Common Stock, $0.0075 par value per share
Series Y Convertible Preferred Stock
→ Common Stock, $0.0075 par value per share (596,813 underlying)Series Y Convertible Preferred Stock
→ Common Stock, $0.0075 par value per share (655,959 underlying)- 1,147,676
Common Stock, $0.0075 par value per share
Series X Convertible Preferred Stock
→ Common Stock, $0.0075 par value per share (2,313,000 underlying)
BVF I GP LLC
10% Owner
Holdings
- 1,147,676
Common Stock, $0.0075 par value per share
Series X Convertible Preferred Stock
→ Common Stock, $0.0075 par value per share (2,313,000 underlying)Series Y Convertible Preferred Stock
→ Common Stock, $0.0075 par value per share (655,959 underlying)- 1,103,314
Common Stock, $0.0075 par value per share
Series X Convertible Preferred Stock
→ Common Stock, $0.0075 par value per share (1,506,000 underlying)Series Y Convertible Preferred Stock
→ Common Stock, $0.0075 par value per share (596,813 underlying)
BVF II GP LLC
10% Owner
Holdings
Series X Convertible Preferred Stock
→ Common Stock, $0.0075 par value per share (2,313,000 underlying)Series X Convertible Preferred Stock
→ Common Stock, $0.0075 par value per share (1,506,000 underlying)Series Y Convertible Preferred Stock
→ Common Stock, $0.0075 par value per share (596,813 underlying)- 1,147,676
Common Stock, $0.0075 par value per share
- 1,103,314
Common Stock, $0.0075 par value per share
Series Y Convertible Preferred Stock
→ Common Stock, $0.0075 par value per share (655,959 underlying)
Footnotes (5)
- [F1]This Form 3 is filed jointly by BVF I GP LLC ("BVF GP"), BVF II GP LLC ("BVF2 GP") and BVF GP HOLDINGS LLC ("BVF GPH", and together with BVF GP and BVF2 GP, the "Reporting Persons"). Each of the Reporting Persons is a member of a Section 13(d) group that collectively owns more than 10% of the Issuer's outstanding shares of Common Stock. Each of the Reporting Persons disclaims beneficial ownership of the securities reported herein except to the extent of its pecuniary interest therein.
- [F2]Securities owned directly by Biotechnology Value Fund, L.P. ("BVF"). As the general partner of BVF, BVF GP may be deemed to beneficially own the securities owned directly by BVF. As the sole member of BVF GP, BVF GPH may be deemed to beneficially own the securities owned directly by BVF.
- [F3]Securities owned directly by Biotechnology Value Fund II, L.P. ("BVF2"). As the general partner of BVF2, BVF2 GP may be deemed to beneficially own the securities owned directly by BVF2. As the sole member of BVF2 GP, BVF GPH may be deemed to beneficially own the securities owned directly by BVF2.
- [F4]The Series X Convertible Preferred Stock may not be exercised if, after such exercise, the Reporting Persons would beneficially own, as determined in accordance with Section 13(d), more than 19.99% of the shares of Common Stock outstanding immediately after giving effect to such exercise. The Series X Convertible Preferred Stock does not have an expiration date. The initial conversion price is $4.03 and is subject to certain adjustments pursuant to the Certificate of Designation of Preferences, Rights and Limitations of Series X Convertible Preferred Stock.
- [F5]The Series Y Convertible Preferred Stock may not be exercised if, after such exercise, the Reporting Persons would beneficially own, as determined in accordance with Section 13(d), more than 50% of the shares of Common Stock outstanding immediately after giving effect to such exercise. The Series Y Convertible Preferred Stock does not have an expiration date. The initial conversion price is $13.00 and is subject to certain adjustments pursuant to the Certificate of Designation of Preferences, Rights and Limitations of Series Y Convertible Preferred Stock.
Documents
Issuer
XOMA Corp
CIK 0000791908
Entity typeother
IncorporatedDE
Related Parties
1- filerCIK 0001803809
Filing Metadata
- Form type
- 3
- Filed
- Mar 16, 8:00 PM ET
- Accepted
- Mar 17, 9:23 PM ET
- Size
- 14.9 KB