SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
Pursuant to Section 13 or 15(d)
of the Securities Exchange Act of 1934
Date of Report (Date of earliest event Reported): April 15, 2021
(Exact Name of Registrant as Specified in Charter)
(State or Other Jurisdiction
2200 Powell Street, Suite 310, Emeryville, California 94608
(Address of Principal Executive Offices) (Zip Code)
(Registrant’s telephone number, including area code)
(Former name or former address, if changed since last report)
Securities registered pursuant to Section 12(b) of the Act:
Title of each class:
Name of each exchange
on which registered:
|Common Stock, $0.0075 par value||XOMA||The Nasdaq Global Market|
|8.625% Series A Cumulative Perpetual Preferred Stock, par value $0.05 per share|
The Nasdaq Global Market
|Depositary Shares (each representing 1/1000th in a share of 8.375% Series B Cumulative Perpetual Preferred Stock, par value $0.05 per share)||XOMAO||The Nasdaq Global Market|
Written communications pursuant to Rule 425 under the Securities Act (17 CFR 230.425)
Soliciting material pursuant to Rule 14a-12 under the Exchange Act (17 CFR 240.14a-12)
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 §230.405) or Rule 12b-2 of the Securities Exchange Act of 1934 (17 CFR §240.12b-2).
Emerging growth company ☐
Entry into a Material Definitive Agreement.
On April 15, 2021, XOMA (US) LLC (“XOMA”), a wholly-owned subsidiary of XOMA Corporation (the “Company”), entered into a contractual arrangement with Affimed N.V. (“Affimed”) and affiliated entities (the Agreement”). The Agreement provides for payments to XOMA on potential future commercial sales related to the three innate cell engager (ICE®) molecules and any pre-loaded natural killer (NK) cells containing the ICE® molecules. Additionally, under the Agreement, XOMA is eligible to receive a potential milestone for each program, upon each candidate receiving marketing approval.
The description of the Agreement contained herein does not purport to be complete and is qualified in its entirety by reference to the copy of the Agreement which will be filed as an exhibit to the Company’s Quarterly Report on Form 10-Q for the period ending June 30, 2021.
|Date: April 16, 2021||By:|
/s/ THOMAS BURNS
|Senior Vice President, Finance and Chief Financial Officer|