Insider filing report for Changes in Beneficial Ownership
- Schedule 13G & 13D forms are used to report a party's ownership of stock which exceeds 5% of a company's total stock issue.
- Schedule 13G is a shorter version of Schedule 13D with fewer reporting requirements.
- Peter Lynch
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UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
SCHEDULE 13G
Under the Securities Exchange Act of 1934
(Amendment No. 1)*
XOMA Corporation
(Name of Issuer)
Common Stock, $0.0075 par value
(Title of Class of Securities)
98419J206
(CUSIP Number)
August 6, 2020
(Date of Event which Requires Filing of this Statement)
Check the appropriate box to designate the rule pursuant to which this Schedule is filed:
o Rule 13d-1(b)
x Rule 13d-1(c)
o Rule 13d-1(d)
* The remainder of this cover page shall be filled out for a reporting person’s initial filing on this form with respect to the subject class of securities, and for any subsequent amendment containing information, which would alter disclosures provided in a prior cover page.
The information required on the remainder of this cover page shall not be deemed to be “filed” for the purpose of Section 18 of the Securities Exchange Act of 1934 (“Act”) or otherwise subject to the liabilities of that section of the Act but shall be subject to all other provisions of the Act (however, see the Notes).
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CUSIP No. 98419J206 |
13G |
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1. |
NAMES OF REPORTING PERSONS | |||||
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2. |
CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP | |||||
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(a) |
o | ||||
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(b) |
o | ||||
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3. |
SEC USE ONLY | |||||
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4. |
CITIZENSHIP OR PLACE OF ORGANIZATION | |||||
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NUMBER OF |
5. |
SOLE VOTING POWER | |||||
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SHARED VOTING POWER | ||||||
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7. |
SOLE DISPOSITIVE POWER | ||||||
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8. |
SHARED DISPOSITIVE POWER | ||||||
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0; |
9. |
AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON | |||||
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10. |
CHECK IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES (see instructions) o | |||||
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11. |
PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9) | |||||
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12. |
TYPE OF REPORTING PERSON (see instructions) | |||||
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CUSIP No. 98419J206 |
13G |
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1. |
NAMES OF REPORTING PERSONS Novartis AG | |||||
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2. |
CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP | |||||
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(a) |
o | ||||
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(b) |
o | ||||
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3. |
SEC USE ONLY | |||||
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4. |
CITIZENSHIP OR PLACE OF ORGANIZATION | |||||
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NUMBER OF |
5. |
SOLE VOTING POWER | |||||
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6. |
SHARED VOTING POWER | ||||||
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7. |
SOLE DISPOSITIVE POWER | ||||||
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8. |
SHARED DISPOSITIVE POWER | ||||||
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9. |
AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON | |||||
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10. |
CHECK IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES (see instructions) o | |||||
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11. |
PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9) | |||||
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12. |
TYPE OF REPORTING PERSON (see instructions) | |||||
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CUSIP No. 98419J206 |
13G |
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Item 1.
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(a) |
Name of Issuer
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(b) |
Address of Issuer’s Principal Executive Offices
2200 Powell Street, Suite 310, Emeryville, California 94608 |
Item 2.
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(a) |
Name of Person Filing
This statement is filed on behalf of the following persons with respect to shares of common stock of the Issuer:
(i) Novartis Pharma AG, a Switzerland corporation, with respect to shares held by it; and
(ii) Novartis AG, a Switzerland corporation, as the publicly owned direct parent of Novartis Pharma AG, with respect to the shares held by Novartis Pharma AG.
The foregoing persons are hereinafter referred to collectively as the “Reporting Persons.” |
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(b) |
Address of the Principal Office or, if none, Residence
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(c) |
Citizenship
Novartis Pharma AG and Novartis AG are corporations organized under the laws of Switzerland. |
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(d) |
Title of Class of Securities
Common Stock, $0.0075 par value (“Common Stock”). |
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(e) |
CUSIP Number
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Item 3. If this statement is filed pursuant to §§240.13d-1(b), or 240.13d-2(b) or (c), check whether the person filing is a:
Not applicable.
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CUSIP No. 98419J206 |
13G |
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Item 4. Ownership.
Provide the following information regarding the aggregate number and percentage of the class of securities of the issuer identified in Item 1.
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(a) |
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Amount beneficially owned:
Novartis Pharma AG is the record owner of 539,131 shares of Common Stock of the Issuer. As the direct parent of Novartis Pharma AG, Novartis AG may be deemed to beneficially own these securities. | |
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(b) |
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Percent of class: 4.9% | |
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(c) |
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Number of shares as to which the person has: | |
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(i) |
Sole power to vote or to direct the vote: -0- |
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(ii) |
Shared power to vote or to direct the vote: 539,131 |
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(iii) |
-0-Sole power to dispose or to direct the disposition of: -0- |
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(iv) |
Shared power to dispose or to direct the disposition of: 539,131 |
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Item 5. Ownership of 5 Percent or Less of a Class.
If this statement is being filed to report the fact that as of the date hereof the reporting person has ceased to be the beneficial owner of more than 5 percent of the class of securities, check the following x.
Item 6. Ownership of More than 5 Percent on Behalf of Another Person.
Not applicable.
Item 7. Identification and Classification of the Subsidiary Which Acquired the Security Being Reported on By the Parent Holding Company or Control Person.
Not applicable.
Item 8. Identification and Classification of Members of the Group.
Not applicable.
Item 9. Notice of Dissolution of a Group.
Not applicable.
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13G |
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Item 10. Certification.
Not applicable.
Signature
After reasonable inquiry and to the best of my knowledge and belief, I certify that the information set forth in this statement is true, complete and correct.
Dated: August 19, 2020
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NOVARTIS PHARMA AG | |
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By: |
/s/ Lukas Foertsch |
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Name: Lukas Foertsch |
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Title: Authorized Signatory |
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By: |
/s/ Stefan Thommen |
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Name: Stefan Thommen |
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Title: Authorized Signatory |
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NOVARTIS AG | |
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By: |
/s/ Christian Rehm |
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Name: Christian Rehm |
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Title: Authorized Signatory |
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By: |
/s/ Felix Eichhorn |
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Name: Felix Eichhorn |
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Title: Authorized Signatory |
EXHIBIT INDEX
SCHEDULE 13G
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Exhibit Number |
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Exhibit Description |
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99.1 |
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Joint Filing Agreement |