<SEC-DOCUMENT>0001171843-19-007975.txt : 20191205
<SEC-HEADER>0001171843-19-007975.hdr.sgml : 20191205
<ACCEPTANCE-DATETIME>20191205170710
ACCESSION NUMBER:		0001171843-19-007975
CONFORMED SUBMISSION TYPE:	8-K
PUBLIC DOCUMENT COUNT:		2
CONFORMED PERIOD OF REPORT:	20191205
ITEM INFORMATION:		Financial Statements and Exhibits
FILED AS OF DATE:		20191205
DATE AS OF CHANGE:		20191205

FILER:

	COMPANY DATA:	
		COMPANY CONFORMED NAME:			XOMA Corp
		CENTRAL INDEX KEY:			0000791908
		STANDARD INDUSTRIAL CLASSIFICATION:	PHARMACEUTICAL PREPARATIONS [2834]
		IRS NUMBER:				522154066
		FISCAL YEAR END:			1231

	FILING VALUES:
		FORM TYPE:		8-K
		SEC ACT:		1934 Act
		SEC FILE NUMBER:	000-14710
		FILM NUMBER:		191270961

	BUSINESS ADDRESS:	
		STREET 1:		2200 POWELL STREET
		STREET 2:		SUITE 310
		CITY:			EMERYVILLE
		STATE:			CA
		ZIP:			94608
		BUSINESS PHONE:		510-204-7239

	MAIL ADDRESS:	
		STREET 1:		2200 POWELL STREET
		STREET 2:		SUITE 310
		CITY:			EMERYVILLE
		STATE:			CA
		ZIP:			94608

	FORMER COMPANY:	
		FORMER CONFORMED NAME:	XOMA LTD /DE/
		DATE OF NAME CHANGE:	19990107

	FORMER COMPANY:	
		FORMER CONFORMED NAME:	XOMA CORP /DE/
		DATE OF NAME CHANGE:	19920703
</SEC-HEADER>
<DOCUMENT>
<TYPE>8-K
<SEQUENCE>1
<FILENAME>f8k_120519.htm
<DESCRIPTION>FORM 8-K
<TEXT>
<html><head><title></title></head><body><div style="margin-top: 3pt; margin-bottom: 12pt;"><div style="font-size: 1pt; border-top: Black 2.5pt solid; border-bottom: Black 1.1pt solid; width: 100%;"><font style="font-size: 10pt;">&#160;</font></div></div><p style="text-align: center;"><font style="font-size: 14pt;"><strong>UNITED STATES</strong><br /><strong>SECURITIES AND EXCHANGE COMMISSION</strong><br /><strong>Washington, D.C. 20549</strong><br />_____________________</font></p><p style="text-transform: uppercase; text-align: center;"><font style="font-size: 14pt;"><strong>Form 8-K</strong><br />_____________________</font></p><p style="text-align: center;"><font style="font-size: 12pt;"><strong>CURRENT REPORT</strong></font></p><p style="text-align: center;"><font style="font-size: 12pt;"><strong>Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934</strong></font></p><p align="center"><font style="font-size: 10pt;">Date of Report (Date of earliest event Reported): <!--December 5, 2019-->December 5, 2019 &#160;</font></p><p align="center"><font style="font-size: 12pt;"><strong>XOMA CORPORATION</strong></font><br /><font style="font-size: 10pt;">(Exact Name of Registrant as Specified in Charter)</font></p><table style="width: 100%;" border="0" cellspacing="0" cellpadding="0"><tr valign="top"><td align="center" width="33%"><font style="font-size: 10pt;"><strong>DELAWARE</strong></font></td><td align="center" width="34%"><font style="font-size: 10pt;"><strong>000-14710</strong></font></td><td align="center" width="33%"><font style="font-size: 10pt;"><strong>52-2154066</strong></font></td></tr><tr valign="top"><td align="center" width="33%"><font style="font-size: 10pt;">(State or Other Jurisdiction of Incorporation)</font></td><td align="center" width="34%"><font style="font-size: 10pt;">(Commission File Number)</font></td><td align="center" width="33%"><font style="font-size: 10pt;">(I.R.S. Employer Identification Number)</font></td></tr></table><p><font style="font-size: 10pt;">&#160;</font></p><table style="width: 100%;" border="0" cellspacing="0" cellpadding="0"><tr valign="bottom"><td align="center" width="50%"><font style="font-size: 10pt;"><strong>2200 Powell Street, Suite 310, Emeryville, California 94608</strong><!----></font></td></tr><tr valign="top"><td align="center" width="50%"><font style="font-size: 10pt;">(Address of Principal Executive Offices) (Zip Code)</font></td></tr></table><p align="center"><font style="font-size: 10pt;"><strong>(510) 204-7200</strong><br />(Registrant's telephone number, including area code)</font></p><p align="center"><font style="font-size: 10pt;"><strong></strong><br />(Former name or former address, if changed since last report)</font></p><p style="box-sizing: inherit; font-variant-numeric: normal; font-variant-east-asian: normal; font-stretch: normal; font-size: 10pt; line-height: normal; font-family: 'Times New Roman', Times, serif; text-align: justify; text-indent: 4.54%; margin-top: 0pt; margin-bottom: 0pt;">Securities registered pursuant to Section 12(b) of the Act:</p><p style="box-sizing: inherit; font-variant-numeric: normal; font-variant-east-asian: normal; font-stretch: normal; font-size: 10pt; line-height: normal; font-family: 'Times New Roman', Times, serif; text-align: justify; text-indent: 4.54%; margin-top: 0pt; margin-bottom: 0pt;">&#160;</p><table style="box-sizing: inherit; border-spacing: 0px; background-color: transparent; font-variant-numeric: normal; font-variant-east-asian: normal; font-stretch: normal; font-size: 10pt; line-height: normal; font-family: 'Times New Roman', Times, serif; width: 1047px; height: 35px;" border="0" cellspacing="0" cellpadding="0" align="center"><tr style="box-sizing: inherit; vertical-align: top;"><td style="box-sizing: inherit; padding: 0px; text-align: center; text-indent: 0pt; width: 687.5px;">Title of each class:</td><td style="box-sizing: inherit; padding: 0px; text-align: center; text-indent: 0pt; width: 588.75px;">Trading symbol(s):</td><td style="box-sizing: inherit; padding: 0px; text-align: center; text-indent: 0pt; width: 686.25px;">Name of each exchange on which registered:</td></tr><tr style="box-sizing: inherit; vertical-align: top;"><td style="box-sizing: inherit; padding: 0px; text-align: center; text-indent: 0pt;">Common Stock, $0.0075 par value</td><td style="box-sizing: inherit; padding: 0px; text-align: center; text-indent: 0pt;">XOMA</td><td style="box-sizing: inherit; padding: 0px; text-align: center; text-indent: 0pt;">The Nasdaq Stock Market&#160;LLC</td></tr></table><table style="width: 100%;" border="0" cellspacing="0" cellpadding="0"><tr valign="top"><td colspan="3"><font style="font-size: 10pt;">Check the appropriate box below if the Form 8-K filing is intended to simultaneously satisfy the filing obligation of the registrant under any of the following provisions:<br /><br /></font></td></tr><tr valign="top"><td width="21"><font style="font-size: 10pt;">&#160;</font></td><td width="40"><font style="font-size: 10pt;">[ &#160; ]</font></td><td nowrap="nowrap"><font style="font-size: 10pt;">&#160;&#160;Written communications pursuant to Rule 425 under the Securities Act (17 CFR 230.425)</font></td></tr><tr valign="top"><td width="21"><font style="font-size: 10pt;">&#160;</font></td><td width="40"><font style="font-size: 10pt;">[ &#160; ]</font></td><td nowrap="nowrap"><font style="font-size: 10pt;">&#160;&#160;Soliciting material pursuant to Rule 14a-12 under the Exchange Act (17 CFR 240.14a-12)</font></td></tr><tr valign="top"><td width="21"><font style="font-size: 10pt;">&#160;</font></td><td width="40"><font style="font-size: 10pt;">[ &#160; ]</font></td><td nowrap="nowrap"><font style="font-size: 10pt;">&#160;&#160;Pre-commencement communications pursuant to Rule 14d-2(b) under the Exchange Act (17 CFR 240.14d-2(b))</font></td></tr><tr valign="top"><td width="21"><font style="font-size: 10pt;">&#160;</font></td><td width="40"><font style="font-size: 10pt;">[ &#160; ]</font></td><td nowrap="nowrap"><font style="font-size: 10pt;">&#160;&#160;Pre-commencement communications pursuant to Rule 13e-4(c) under the Exchange Act (17 CFR 240.13e-4(c))</font></td></tr></table><p style="font-size: 10pt; margin: 0pt;">&#160;</p><p style="font-size: 10pt; margin: 0pt;">Indicate by check mark whether the registrant is an emerging growth company as defined in Rule 405 of the Securities Act of 1933 (17 CFR &sect;230.405) or Rule&#160;12b-2&#160;of the Securities Exchange Act of 1934 (17 CFR&#160;&sect;240.12b-2).&#160;Emerging growth company [&#160;&#160; ]</p><p style="font-size: 10pt; margin: 0pt;">&#160;</p><p style="font-size: 10pt; margin: 0pt;">If an emerging growth company, indicate by check mark if the registrant has elected not to use the extended transition period for complying with any new or revised financial accounting standards provided pursuant to Section 13(a) of the Exchange Act. [&#160;&#160; ]</p><div style="margin-top: 12pt; margin-bottom: 3pt;"><div style="font-size: 1pt; border-top: Black 1.1pt solid; border-bottom: Black 2.5pt solid; width: 100%;"><font style="font-size: 10pt;">&#160;</font></div>&#160;</div><hr style="page-break-after: always;" noshade="noshade" /><p><font style="font-size: 10pt;">  <strong>  </strong></font></p><p><font style="font-size: 10pt;"><strong>Item 9.01. Financial Statements and Exhibits.</strong></font></p><p><font style="font-size: 10pt;">
 <p>(d) Exhibits&#160;</p> <table style="width:516; border-collapse:collapse !important;;border-collapse: collapse; "><tr><td class="hugin"><font style="font-size:10pt;"><strong><u>Number</u></strong></font></td><td class="hugin">&#160;</td><td style="vertical-align: bottom ; "><font style="font-size:10pt;"><strong><u>Description&#160;of Document</u></strong></font></td></tr><tr><td class="hugin">&#160;</td><td class="hugin">&#160;</td><td class="hugin">&#160;</td></tr><tr><td class="hugin"><font style="font-size:10pt;"><font style="font-size:10pt;"><font style="font-size:10pt;"><a href="exh_991.htm" rel="nofollow">99.1</a></font></font></font></td><td class="hugin">&#160;</td><td class="hugin"><font style="font-size:10pt;"><font style="font-size:10pt;"><font style="font-size:10pt;"><a href="exh_991.htm" rel="nofollow">Press release entitled Iscalimab (CFZ533) Update</a></font></font></font></td></tr></table></font></p><p><font style="font-size: 10pt;"></font></p><p><font style="font-size: 10pt;"></font></p><hr style="page-break-after: always;" noshade="noshade" /><p align="center"><font style="font-size: 10pt;"><strong>SIGNATURE</strong></font></p><p><font style="font-size: 10pt;">Pursuant to the requirements of the Securities Exchange Act of 1934, the registrant has duly caused this report to be signed on its behalf by the undersigned hereunto duly authorized.</font></p><table style="width: 100%;" border="0" cellspacing="0" cellpadding="0"><tr valign="top"><td valign="top" width="49%"><font style="font-size: 10pt;">&#160;</font></td><td style="font-size: 12pt;" colspan="2" valign="top"><font style="font-size: 10pt;"><strong>XOMA CORPORATION</strong></font></td></tr><tr valign="top"><td width="49%"><font style="font-size: 10pt;">&#160;</font></td><td width="2%"><font style="font-size: 10pt;">&#160;</font></td><td width="49%"><font style="font-size: 10pt;">&#160;</font></td></tr><tr valign="top"><td width="49%"><font style="font-size: 10pt;">&#160;</font></td><td width="2%"><font style="font-size: 10pt;">&#160;</font></td><td width="49%"><font style="font-size: 10pt;"></font></td></tr><tr valign="top"><td width="49%"><font style="font-size: 10pt;">Date: December 5, 2019</font></td><td width="2%"><font style="font-size: 10pt;">By:&#160;</font></td><td style="text-decoration: underline;" width="49%"><font style="font-size: 10pt;">/s/ THOMAS BURNS&#160;&#160;&#160;&#160;&#160;&#160;&#160;&#160;</font></td></tr><tr valign="top"><td width="49%"><font style="font-size: 10pt;">&#160;</font></td><td width="2%"><font style="font-size: 10pt;">&#160;</font></td><td width="49%"><font style="font-size: 10pt;">Thomas Burns</font></td></tr><tr valign="top"><td width="49%"><font style="font-size: 10pt;">&#160;</font></td><td width="2%"><font style="font-size: 10pt;">&#160;</font></td><td width="49%"><font style="font-size: 10pt;">Senior Vice President, Finance and Chief Financial Officer</font></td></tr><tr valign="top"><td width="49%"><font style="font-size: 10pt;">&#160;</font></td><td width="2%"><font style="font-size: 10pt;">&#160;</font></td><td width="49%"><font style="font-size: 10pt;"></font></td></tr></table><p /></body></html>
</TEXT>
</DOCUMENT>
<DOCUMENT>
<TYPE>EX-99.1
<SEQUENCE>2
<FILENAME>exh_991.htm
<DESCRIPTION>PRESS RELEASE
<TEXT>
<!DOCTYPE HTML PUBLIC "-//W3C//DTD HTML 4.0 Transitional//EN"><html lang="en-US"><head><title>EdgarFiling</title><meta content="text/html; charset=windows-1252" ><meta name="GENERATOR" content="MSHTML 8.00.7601.18094" ></head><body bgcolor="#ffffff"><p style="text-align: right;"><strong>EXHIBIT 99.1</strong></p><p style="text-align: center;"><font style="font-size: 14pt;"><strong>Iscalimab (CFZ533) Update</strong></font></p><p style="text-align: center;"><strong></strong></p><p ></p>
 <p align="left">EMERYVILLE, Calif., Dec.  05, 2019  (GLOBE NEWSWIRE) -- As part of its R&amp;D Day on December 5, 2019, Novartis highlighted the progress that has been made on iscalimab (CFZ533), a product candidate, for which XOMA (NASDAQ: XOMA) has the potential to earn royalties that are tiered from a mid-single to a low teens percentage rate based on sales levels, if this investigational compound is approved and commercialized. &#160;Novartis dedicated eight (8) slides to the iscalimab update.&#160; Please find the Novartis R&amp;D Day Presentation on the Novartis website (slide numbers 1, 2, 64-71).&#160; Additionally, the relevant slides can be found on our website at <u>www.xoma.com</u>. &#160;Iscalimab, which originated from XOMA&#8217;s research collaboration with Chiron (acquired by Novartis), is a fully human monoclonal antibody blocking the CD40 &#8211; CD154 signaling pathway.<br ></p>  <p>Please note:&#160; Iscalimab (CFZ533) is an investigational compound. &#160;There is no guarantee that iscalimab will become commercially available.</p>  <p><strong>About XOMA Corporation</strong><br >XOMA has built a significant portfolio of products that are licensed to and being developed by other biotechnology and pharmaceutical companies.&#160; The Company&#8217;s portfolio of partner-funded programs spans multiple stages of the drug development process and across various therapeutic areas.&#160; Many of these licenses are the result of XOMA&#8217;s pioneering efforts in the discovery and development of antibody therapeutics.&#160; The Company&#8217;s royalty-aggregator business model includes acquiring additional licenses to programs with third-party funding.&#160; For more information, visit <u>www.xoma.com</u>.</p>  <p><strong>Forward-Looking Statements/Explanatory Notes</strong><br >Certain statements contained in this press release are forward-looking statements within the meaning of Section 27A of the Securities Act of 1933 and Section 21E of the Securities Exchange Act of 1934, including statements regarding the potential of XOMA&#8217;s portfolio of partnered programs and licensed technologies generating substantial milestone and royalty proceeds over time and creating additional value for the stockholders.&#160; These statements are based on assumptions that may not prove accurate, and actual results could differ materially from those anticipated due to certain risks inherent in the biotechnology industry, including those related to the fact that our product candidates subject to out-license agreements are still being developed, and our licensees may require substantial funds to continue development which may not be available; we do not know whether there will be, or will continue to be, a viable market for the products in which we have an ownership or royalty interest; if the therapeutic product candidates to which we have a royalty interest do not receive regulatory approval, our third-party licensees will not be able to market them.&#160; Other potential risks to XOMA meeting these expectations are described in more detail in XOMA's most recent filing on Form 10-K and in other SEC filings.&#160; Consider such risks carefully when considering XOMA's prospects.&#160; Any forward-looking statement in this press release represents XOMA's views only as of the date of this press release and should not be relied upon as representing its views as of any subsequent date.&#160; XOMA disclaims any obligation to update any forward-looking statement, except as required by applicable law.</p>  <p>EXPLANATORY NOTE: Any references to &#8220;portfolio&#8221; in this press release refer strictly to milestone and/or royalty rights associated with a basket of drug products in development.&#160; Any references to &#8220;assets&#8221; in this press release refer strictly to milestone and/or royalty rights associated with individual drug products in development.</p>  <p align="justify"><strong>Investor contact:</strong><br >Juliane Snowden<br >Oratorium Group, LLC<br >+1 646-438-9754<br >jsnowden@oratoriumgroup.com</p>  <p align="justify"><strong>Media contact:</strong><br >Kathy Vincent<br >KV Consulting &amp; Management<br >+1 310-403-8951<br >kathy@kathyvincent.com</p>  <p> </p><p ></p></body></html>
</TEXT>
</DOCUMENT>
</SEC-DOCUMENT>
