person · Reporting owner

Neal James R

Disclosed activity across 6 companies

Tapewire entity: 28198
SEC CIK: 0001600865

Reported relationships

Latest disclosed role at each company.

Company	Last reported as	Report date	Published
Akari Therapeutics PlcAKTX · Entity 7692	Director	December 16, 2025	March 16, 2026
Monterey Innovation Acquisition CorpMTRY · Entity 114547	Director	September 30, 2021	September 30, 2021
Peak Bio, Inc.PKBO · Entity 85431	Director	November 14, 2024	November 18, 2024
Processa Pharmaceuticals, Inc.PCSA · Entity 8210	Director	July 26, 2026	July 29, 2026
XOMA Royalty CorpXOMA · Entity 30207	Director · CEO	July 15, 2022	July 18, 2022

Disclosed balances

About these balances

Latest available filing per company, not a reconstructed current portfolio. Matching sequences show the last reported balance with all source rows expandable; grouping alone does not establish account ownership. Do not add unresolved positions together. Filings may omit unchanged positions, and amendments may correct only part of an older disclosure. Jointly reported shares are not necessarily this owner's personal holdings.

Akari Therapeutics Plc

Report date December 16, 2025 · Filed March 16, 2026

Security / award	Ownership account	Disclosed shares / units	Disclosure context
Warrants to purchase American Depositary Shares ("ADRs")SEC Table II · derivative / convertible security · Conversion / exercise price $0.39	Direct	2,473	Reported balance After 2025-12-16 transaction · row 1 Instrument identity requires review; Table II rows are not merged. 1 source row Row 1 · 2025-12-16 · Purchase · Acquired 2,473 · Balance 2,473 F1: Each American Depositary Share ("ADS") represents 2,000 Ordinary Shares with a par value of $0.000000005 per Ordinary Share of the Issuer. F2: On December 16, 2025, the Reporting Person acquired (i) unregistered pre-funded warrants to purchase up to 2,473 ADSs (the "PIPE PFWs" and ) and (ii) accompanying Series G Warrants to purchase up to 2,473 ADSs (the "Series G Warrants"), at a combined purchase price of $0.4041 per PIPE PFW and Series G Warrant in a private placement transaction pursuant to an exemption from the registration requirements under Section 4(a)(2) of the Securities Act of 1933, as amended. F4: The combined purchase price per one PIPE PFW and accompanying PIPE Series G Warrant was $0.4041. F3: The Series G Warrants and the PIPE PFWs shall be exercisable upon shareholder approval, with the Series G Warrants having a five-year term from such approval, and the PIPE PFWs remaining exercisable until fully exercised.
Pre-Funded Warrants to purchase ADRsSEC Table II · derivative / convertible security · Conversion / exercise price $0.00	Direct	2,473	Reported balance After 2025-12-16 transaction · row 2 Instrument identity requires review; Table II rows are not merged. 1 source row Row 2 · 2025-12-16 · Purchase · Acquired 2,473 · Balance 2,473 F1: Each American Depositary Share ("ADS") represents 2,000 Ordinary Shares with a par value of $0.000000005 per Ordinary Share of the Issuer. F2: On December 16, 2025, the Reporting Person acquired (i) unregistered pre-funded warrants to purchase up to 2,473 ADSs (the "PIPE PFWs" and ) and (ii) accompanying Series G Warrants to purchase up to 2,473 ADSs (the "Series G Warrants"), at a combined purchase price of $0.4041 per PIPE PFW and Series G Warrant in a private placement transaction pursuant to an exemption from the registration requirements under Section 4(a)(2) of the Securities Act of 1933, as amended. F7: Conversion Exercise Price of Security is $0.00001 F4: The combined purchase price per one PIPE PFW and accompanying PIPE Series G Warrant was $0.4041. F3: The Series G Warrants and the PIPE PFWs shall be exercisable upon shareholder approval, with the Series G Warrants having a five-year term from such approval, and the PIPE PFWs remaining exercisable until fully exercised.
Pre-Funded Warrants to purchase ADRsSEC Table II · derivative / convertible security · Conversion / exercise price $0.00	Direct	3,093	Reported balance After 2025-12-16 transaction · row 4 Instrument identity requires review; Table II rows are not merged. 1 source row Row 4 · 2025-12-16 · Purchase · Acquired 3,093 · Balance 3,093 F1: Each American Depositary Share ("ADS") represents 2,000 Ordinary Shares with a par value of $0.000000005 per Ordinary Share of the Issuer. F5: On December 16, 2025, the Reporting Person and the Issuer entered into a note cancellation and exchange agreement, pursuant to which, in exchange for the entire outstanding principal amount and all accrued interest on the Issuer's unsecured promissory note held by the Reporting Person, the Issuer issued to the Reporting Person (i) unregistered pre-funded warrants (the "Note Exchange Unregistered Pre-Funded Warrants") to purchase up to 3,093 ADSs, at a purchase price of $0.4041 per Note Exchange Unregistered Pre-Funded Warrant, and (ii) unregistered warrants to purchase up to 3,219 ADSs (the "Note Exchange Unregistered Warrants"). F7: Conversion Exercise Price of Security is $0.00001 F6: The Note Exchange Unregistered Warrants and the Note Exchange Unregistered Pre-Funded Warrants shall be exercisable upon shareholder approval, with the Note Exchange Unregistered Warrants having a five-year term from such approval, and the Note Exchange Unregistered Pre-Funded Warrants remaining exercisable until fully exercised.
Warrants to purchase ADRsSEC Table II · derivative / convertible security · Conversion / exercise price $0.39	Direct	3,093	Reported balance After 2025-12-16 transaction · row 3 Instrument identity requires review; Table II rows are not merged. 1 source row Row 3 · 2025-12-16 · Purchase · Acquired 3,093 · Balance 3,093 F1: Each American Depositary Share ("ADS") represents 2,000 Ordinary Shares with a par value of $0.000000005 per Ordinary Share of the Issuer. F5: On December 16, 2025, the Reporting Person and the Issuer entered into a note cancellation and exchange agreement, pursuant to which, in exchange for the entire outstanding principal amount and all accrued interest on the Issuer's unsecured promissory note held by the Reporting Person, the Issuer issued to the Reporting Person (i) unregistered pre-funded warrants (the "Note Exchange Unregistered Pre-Funded Warrants") to purchase up to 3,093 ADSs, at a purchase price of $0.4041 per Note Exchange Unregistered Pre-Funded Warrant, and (ii) unregistered warrants to purchase up to 3,219 ADSs (the "Note Exchange Unregistered Warrants"). F6: The Note Exchange Unregistered Warrants and the Note Exchange Unregistered Pre-Funded Warrants shall be exercisable upon shareholder approval, with the Note Exchange Unregistered Warrants having a five-year term from such approval, and the Note Exchange Unregistered Pre-Funded Warrants remaining exercisable until fully exercised.

Filing footnotes · ownership attribution and instrument terms

F1: Each American Depositary Share ("ADS") represents 2,000 Ordinary Shares with a par value of $0.000000005 per Ordinary Share of the Issuer.

F2: On December 16, 2025, the Reporting Person acquired (i) unregistered pre-funded warrants to purchase up to 2,473 ADSs (the "PIPE PFWs" and ) and (ii) accompanying Series G Warrants to purchase up to 2,473 ADSs (the "Series G Warrants"), at a combined purchase price of $0.4041 per PIPE PFW and Series G Warrant in a private placement transaction pursuant to an exemption from the registration requirements under Section 4(a)(2) of the Securities Act of 1933, as amended.

F3: The Series G Warrants and the PIPE PFWs shall be exercisable upon shareholder approval, with the Series G Warrants having a five-year term from such approval, and the PIPE PFWs remaining exercisable until fully exercised.

F4: The combined purchase price per one PIPE PFW and accompanying PIPE Series G Warrant was $0.4041.

F5: On December 16, 2025, the Reporting Person and the Issuer entered into a note cancellation and exchange agreement, pursuant to which, in exchange for the entire outstanding principal amount and all accrued interest on the Issuer's unsecured promissory note held by the Reporting Person, the Issuer issued to the Reporting Person (i) unregistered pre-funded warrants (the "Note Exchange Unregistered Pre-Funded Warrants") to purchase up to 3,093 ADSs, at a purchase price of $0.4041 per Note Exchange Unregistered Pre-Funded Warrant, and (ii) unregistered warrants to purchase up to 3,219 ADSs (the "Note Exchange Unregistered Warrants").

F6: The Note Exchange Unregistered Warrants and the Note Exchange Unregistered Pre-Funded Warrants shall be exercisable upon shareholder approval, with the Note Exchange Unregistered Warrants having a five-year term from such approval, and the Note Exchange Unregistered Pre-Funded Warrants remaining exercisable until fully exercised.

F7: Conversion Exercise Price of Security is $0.00001

Monterey Innovation Acquisition Corp

Report date September 30, 2021 · Filed September 30, 2021

Security / award	Ownership account	Disclosed shares / units	Disclosure context
Common StockSEC Table I · non-derivative	Direct	35,000	Reported balance Holding disclosure · report date 2021-09-30 · row 1 Holding and transaction disclosures are not merged. 1 source row Row 1 · Balance 35,000

Peak Bio, Inc.

Report date November 14, 2024 · Filed November 18, 2024

Security / award	Ownership account	Disclosure context
Common StockSEC Table I · non-derivative	Direct	Ending reported balance After 2024-11-14 transaction · row 2 2 source rows · reconciled sequence Row 1 · 2024-11-14 · Conversion · Acquired 37,850 · Balance 37,850 F1: This Form 4 reports securities transacted pursuant to the terms of the Agreement and Plan of Merger, dated as of March 4, 2024, as amended (the "Merger Agreement"), by and among the Issuer, Akari Therapeutics Plc ("Parent"), and Pegasus Merger Sub, Inc., a wholly-owned subsidiary of Parent ("Merger Sub"), pursuant to which Merger Sub merged with and into the Issuer effective as of November 14, 2024, with the Issuer surviving as a wholly owned subsidiary of Parent (the "Merger"). F2: Immediately prior to the effective time of the Merger (the "Effective Time"), the principal amount of convertible promissory notes held by the Reporting Person (together with accrued interest thereon) automatically converted into shares of common stock of the Issuer ("Peak Common Stock"). Row 2 · 2024-11-14 · Disposition to issuer · Disposed 37,850 · Balance 0 F1: This Form 4 reports securities transacted pursuant to the terms of the Agreement and Plan of Merger, dated as of March 4, 2024, as amended (the "Merger Agreement"), by and among the Issuer, Akari Therapeutics Plc ("Parent"), and Pegasus Merger Sub, Inc., a wholly-owned subsidiary of Parent ("Merger Sub"), pursuant to which Merger Sub merged with and into the Issuer effective as of November 14, 2024, with the Issuer surviving as a wholly owned subsidiary of Parent (the "Merger"). F3: At the Effective Time, each issued and outstanding share of Peak Common Stock was cancelled and converted into the right to receive 0.2935 (the "Exchange Ratio") American Depositary Shares ("ADSs") of Parent, each ADS representing a number of ordinary shares, par value $0.0001 per share (the "Ordinary Shares") of Parent.
Convertible NotesSEC Table II · derivative / convertible security	Direct	Reported balance After 2024-11-14 transaction · row 3 Instrument identity requires review; Table II rows are not merged. 1 source row Row 3 · 2024-11-14 · Conversion · Disposed Not disclosed · Balance 0 F2: Immediately prior to the effective time of the Merger (the "Effective Time"), the principal amount of convertible promissory notes held by the Reporting Person (together with accrued interest thereon) automatically converted into shares of common stock of the Issuer ("Peak Common Stock"). F1: This Form 4 reports securities transacted pursuant to the terms of the Agreement and Plan of Merger, dated as of March 4, 2024, as amended (the "Merger Agreement"), by and among the Issuer, Akari Therapeutics Plc ("Parent"), and Pegasus Merger Sub, Inc., a wholly-owned subsidiary of Parent ("Merger Sub"), pursuant to which Merger Sub merged with and into the Issuer effective as of November 14, 2024, with the Issuer surviving as a wholly owned subsidiary of Parent (the "Merger").
Warrant (Right to Purchase)SEC Table II · derivative / convertible security · Conversion / exercise price $0.60	Direct	Reported balance After 2024-11-14 transaction · row 4 Instrument identity requires review; Table II rows are not merged. 1 source row Row 4 · 2024-11-14 · Disposition to issuer · Disposed 33,340 · Balance 0 F1: This Form 4 reports securities transacted pursuant to the terms of the Agreement and Plan of Merger, dated as of March 4, 2024, as amended (the "Merger Agreement"), by and among the Issuer, Akari Therapeutics Plc ("Parent"), and Pegasus Merger Sub, Inc., a wholly-owned subsidiary of Parent ("Merger Sub"), pursuant to which Merger Sub merged with and into the Issuer effective as of November 14, 2024, with the Issuer surviving as a wholly owned subsidiary of Parent (the "Merger"). F4: At the Effective Time, each warrant to purchase capital stock of the Issuer (each, a "Peak Warrant") outstanding immediately prior to the Effective Time was converted into warrants to purchase a number of Ordinary Shares or ADSs (the "Assumed Warrants"), exercisable for a number of ADSs equal to the number of shares of Peak Common Stock underlying such Peak Warrant multiplied by the Exchange Ratio, and the exercise price with respect to such Assumed Warrants shall be equal to the exercise price of such Peak Warrant divided by the Exchange Ratio.
Stock Option (Right to Buy)SEC Table II · derivative / convertible security · Conversion / exercise price $0.80	Direct	Reported balance After 2024-11-14 transaction · row 5 Instrument identity requires review; Table II rows are not merged. 1 source row Row 5 · 2024-11-14 · Disposition to issuer · Disposed 500,000 · Balance 0 F1: This Form 4 reports securities transacted pursuant to the terms of the Agreement and Plan of Merger, dated as of March 4, 2024, as amended (the "Merger Agreement"), by and among the Issuer, Akari Therapeutics Plc ("Parent"), and Pegasus Merger Sub, Inc., a wholly-owned subsidiary of Parent ("Merger Sub"), pursuant to which Merger Sub merged with and into the Issuer effective as of November 14, 2024, with the Issuer surviving as a wholly owned subsidiary of Parent (the "Merger"). F5: At the Effective Time, each option to purchase shares of Peak Common Stock ("Peak Option") that was outstanding immediately prior to the Effective Time and unexercised, whether or not vested, was assumed by Parent and converted into the option to purchase a number of Ordinary Shares or ADSs (any such option, an "Assumed Option") equal to the number of Peak Common Stock underlying each such Peak Option multiplied by the Exchange Ratio.

Filing footnotes · ownership attribution and instrument terms

F1: This Form 4 reports securities transacted pursuant to the terms of the Agreement and Plan of Merger, dated as of March 4, 2024, as amended (the "Merger Agreement"), by and among the Issuer, Akari Therapeutics Plc ("Parent"), and Pegasus Merger Sub, Inc., a wholly-owned subsidiary of Parent ("Merger Sub"), pursuant to which Merger Sub merged with and into the Issuer effective as of November 14, 2024, with the Issuer surviving as a wholly owned subsidiary of Parent (the "Merger").

F2: Immediately prior to the effective time of the Merger (the "Effective Time"), the principal amount of convertible promissory notes held by the Reporting Person (together with accrued interest thereon) automatically converted into shares of common stock of the Issuer ("Peak Common Stock").

F3: At the Effective Time, each issued and outstanding share of Peak Common Stock was cancelled and converted into the right to receive 0.2935 (the "Exchange Ratio") American Depositary Shares ("ADSs") of Parent, each ADS representing a number of ordinary shares, par value $0.0001 per share (the "Ordinary Shares") of Parent.

F4: At the Effective Time, each warrant to purchase capital stock of the Issuer (each, a "Peak Warrant") outstanding immediately prior to the Effective Time was converted into warrants to purchase a number of Ordinary Shares or ADSs (the "Assumed Warrants"), exercisable for a number of ADSs equal to the number of shares of Peak Common Stock underlying such Peak Warrant multiplied by the Exchange Ratio, and the exercise price with respect to such Assumed Warrants shall be equal to the exercise price of such Peak Warrant divided by the Exchange Ratio.

F5: At the Effective Time, each option to purchase shares of Peak Common Stock ("Peak Option") that was outstanding immediately prior to the Effective Time and unexercised, whether or not vested, was assumed by Parent and converted into the option to purchase a number of Ordinary Shares or ADSs (any such option, an "Assumed Option") equal to the number of Peak Common Stock underlying each such Peak Option multiplied by the Exchange Ratio.

Processa Pharmaceuticals, Inc.

Report date July 26, 2026 · Filed July 29, 2026

Security / award	Ownership account	Disclosed shares / units	Disclosure context
Restricted Stock UnitsSEC Table II · derivative / convertible security · Conversion / exercise price $0.00	Direct	67,470	Reported balance After 2026-07-26 transaction · row 2 Instrument identity requires review; Table II rows are not merged. 1 source row Row 2 · 2026-07-26 · Grant · Acquired 62,221 · Balance 67,470 F1: Each Restricted Stock Unit represents a contingent right to receive one share of the Issuer's common stock. These RSUs vested upon grant, but will not be distributed until the earlier of: (i) their termination; (ii) six month anniversary of the grant date; (iii) change of control; or (iv) their death. F3: Reflects the 1-for-25 reverse stock split effected by the Issuer on December 17, 2025.
Common StockSEC Table I · non-derivative	Direct	1,021	Reported balance Holding disclosure · report date 2026-07-26 · row 1 Holding and transaction disclosures are not merged. 1 source row Row 1 · Balance 1,021
Stock Options (Right to Buy)SEC Table II · derivative / convertible security · Conversion / exercise price $4.96	Direct	12,000	Reported balance Holding disclosure · report date 2026-07-26 · row 3 Instrument identity requires review; Table II rows are not merged. 1 source row Row 3 · Balance 12,000 F2: Stock options vest one-third on the first anniversary date of the grant, with the remaining options vesting ratably over the subsequent two years. F3: Reflects the 1-for-25 reverse stock split effected by the Issuer on December 17, 2025.

Filing footnotes · ownership attribution and instrument terms

F1: Each Restricted Stock Unit represents a contingent right to receive one share of the Issuer's common stock. These RSUs vested upon grant, but will not be distributed until the earlier of: (i) their termination; (ii) six month anniversary of the grant date; (iii) change of control; or (iv) their death.

F2: Stock options vest one-third on the first anniversary date of the grant, with the remaining options vesting ratably over the subsequent two years.

F3: Reflects the 1-for-25 reverse stock split effected by the Issuer on December 17, 2025.

XOMA Royalty Corp

Report date July 15, 2022 · Filed July 18, 2022

Security / award	Ownership account	Disclosed shares / units	Disclosure context
Common StockSEC Table I · non-derivative	Direct	11,822	Ending reported balance After 2022-07-15 transaction · row 4 4 source rows · reconciled sequence Row 1 · 2022-07-15 · Exercise / conversion · Acquired 25,000 · Balance 36,822 Row 2 · 2022-07-15 · Sale · Disposed 20,883 · Balance 15,939 F1: The sales reported on this Form 4 were effected pursuant to a trading plan adopted by the reporting person pursuant to Rule 10b5-1 under the Securities Exchange Act of 1934, as amended. F2: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $29.25 to $30.04, inclusive. The reporting person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range. Row 3 · 2022-07-15 · Sale · Disposed 3,212 · Balance 12,727 F1: The sales reported on this Form 4 were effected pursuant to a trading plan adopted by the reporting person pursuant to Rule 10b5-1 under the Securities Exchange Act of 1934, as amended. F3: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $30.53 to $31.52, inclusive. The reporting person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range. Row 4 · 2022-07-15 · Sale · Disposed 905 · Balance 11,822 F1: The sales reported on this Form 4 were effected pursuant to a trading plan adopted by the reporting person pursuant to Rule 10b5-1 under the Securities Exchange Act of 1934, as amended. F4: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $31.53 to $32.00, inclusive. The reporting person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range.
Stock Option (Right to Buy)SEC Table II · derivative / convertible security · Conversion / exercise price $4.03 · Expires 2027-02-10	Direct	218,056	Reported balance After 2022-07-15 transaction · row 8 Instrument identity requires review; Table II rows are not merged. 1 source row Row 8 · 2022-07-15 · Exercise / conversion · Disposed 25,000 · Balance 218,056 F5: Shares subject to this option have fully vested as of February 10, 2020.
Common StockSEC Table I · non-derivative	IndirectBy 401(k) Plan	5,560	Reported balance Holding disclosure · report date 2022-07-15 · row 5 Holding and transaction disclosures are not merged. 1 source row Row 5 · Balance 5,560
Depositary Shares - 8.375% B Cumulative StockSEC Table I · non-derivative	IndirectBy spouse	8,000	Reported balance Holding disclosure · report date 2022-07-15 · row 6 Holding and transaction disclosures are not merged. 1 source row Row 6 · Balance 8,000
8.625% Series A Cumulative Perpetual Preferred StockSEC Table I · non-derivative	IndirectBy spouse	8,000	Reported balance Holding disclosure · report date 2022-07-15 · row 7 Holding and transaction disclosures are not merged. 1 source row Row 7 · Balance 8,000

Filing footnotes · ownership attribution and instrument terms

F1: The sales reported on this Form 4 were effected pursuant to a trading plan adopted by the reporting person pursuant to Rule 10b5-1 under the Securities Exchange Act of 1934, as amended.

F2: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $29.25 to $30.04, inclusive. The reporting person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range.

F3: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $30.53 to $31.52, inclusive. The reporting person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range.

F4: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $31.53 to $32.00, inclusive. The reporting person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range.

F5: Shares subject to this option have fully vested as of February 10, 2020.

Past disclosures · reporting ended (1)

No longer tracked through insider filings. These historical balances do not imply present ownership or a zero position.

PALISADE BIO, INC.

Report date February 09, 2024 · Filed February 13, 2024

Section 16 reporting ended · disclosed 2024-02-13. Current position is not established by this disclosure.

Security / award	Ownership account	Disclosed shares / units	Disclosure context
Common Stock, par value $0.01SEC Table I · non-derivative	Direct	10,920	Last balance in matching sequence After 2024-02-09 transaction · row 2 Source-order balances reconcile. Account continuity and personal attribution are not independently verified. 2 source rows Row 1 · 2024-02-09 · Exercise / conversion · Acquired 5,100 · Balance 5,100 F1: Represents the issuance of common stock upon the vesting and settlement of outstanding restricted stock units granted on June 11, 2023, resulting from the full accelerated vesting in connection with Reporting Person's resignation from the Issuer's Board of Directors. Row 2 · 2024-02-09 · Exercise / conversion · Acquired 5,820 · Balance 10,920 F1: Represents the issuance of common stock upon the vesting and settlement of outstanding restricted stock units granted on June 11, 2023, resulting from the full accelerated vesting in connection with Reporting Person's resignation from the Issuer's Board of Directors. F2: Represents the issuance of common stock upon the vesting and settlement of outstanding restricted stock units granted on November 21, 2023, resulting from the full accelerated vesting in connection with Reporting Person's resignation from the Issuer's Board of Directors.
Restricted Stock UnitsSEC Table II · derivative / convertible security	Direct	0	Reported balance After 2024-02-09 transaction · row 3 Instrument identity requires review; Table II rows are not merged. 1 source row Row 3 · 2024-02-09 · Exercise / conversion · Disposed 5,100 · Balance 0 F3: This restricted stock unit was granted on June 11, 2023 and pursuant to the issuance upon full vesting as described in Footnote 1, is no longer outstanding. F5: Each restricted stock unit represents the right to receive one share of common stock.
Restricted Stock UnitsSEC Table II · derivative / convertible security	Direct	0	Reported balance After 2024-02-09 transaction · row 4 Instrument identity requires review; Table II rows are not merged. 1 source row Row 4 · 2024-02-09 · Exercise / conversion · Disposed 5,820 · Balance 0 F4: This restricted stock unit was granted on November 21, 2023 and pursuant to the issuance upon full vesting described in Footnote 2, is no longer outstanding. F5: Each restricted stock unit represents the right to receive one share of common stock.
Common Stock OptionsSEC Table II · derivative / convertible security · Conversion / exercise price $1.60 · Expires 2033-06-11	Direct	0	Reported balance After 2024-02-09 transaction · row 5 Instrument identity requires review; Table II rows are not merged. 1 source row Row 5 · 2024-02-09 · Exercise / conversion · Disposed 12,160 · Balance 0 F6: Each option represents the right to purchase one share of common stock at the exercise price. F7: Represents the modification of the option granted on June 11, 2023, resulting in (i) immediate vesting in full of the outstanding grant and (ii) extension of the exercise period until the expiration date in connection with Reporting Person's resignation from the Issuer's Board of Directors.
Common Stock OptionsSEC Table II · derivative / convertible security · Conversion / exercise price $1.60 · Expires 2033-06-11	Direct	12,160	Reported balance After 2024-02-09 transaction · row 6 Instrument identity requires review; Table II rows are not merged. 1 source row Row 6 · 2024-02-09 · Exercise / conversion · Acquired 12,160 · Balance 12,160 F6: Each option represents the right to purchase one share of common stock at the exercise price. F7: Represents the modification of the option granted on June 11, 2023, resulting in (i) immediate vesting in full of the outstanding grant and (ii) extension of the exercise period until the expiration date in connection with Reporting Person's resignation from the Issuer's Board of Directors.
Common Stock OptionsSEC Table II · derivative / convertible security · Conversion / exercise price $0.59 · Expires 2033-11-21	Direct	0	Reported balance After 2024-02-09 transaction · row 7 Instrument identity requires review; Table II rows are not merged. 1 source row Row 7 · 2024-02-09 · Exercise / conversion · Disposed 6,880 · Balance 0 F6: Each option represents the right to purchase one share of common stock at the exercise price. F8: Represents the modification of the option granted on November 21, 2023, resulting in (i) immediate vesting in full of the outstanding grant and (ii) extension of the exercise period until the expiration date in connection with Reporting Person's resignation from the Issuer's Board of Directors.
Common Stock OptionsSEC Table II · derivative / convertible security · Conversion / exercise price $0.59 · Expires 2033-11-21	Direct	6,880	Reported balance After 2024-02-09 transaction · row 8 Instrument identity requires review; Table II rows are not merged. 1 source row Row 8 · 2024-02-09 · Exercise / conversion · Acquired 6,880 · Balance 6,880 F6: Each option represents the right to purchase one share of common stock at the exercise price. F8: Represents the modification of the option granted on November 21, 2023, resulting in (i) immediate vesting in full of the outstanding grant and (ii) extension of the exercise period until the expiration date in connection with Reporting Person's resignation from the Issuer's Board of Directors.

Filing footnotes · ownership attribution and instrument terms

F1: Represents the issuance of common stock upon the vesting and settlement of outstanding restricted stock units granted on June 11, 2023, resulting from the full accelerated vesting in connection with Reporting Person's resignation from the Issuer's Board of Directors.

F2: Represents the issuance of common stock upon the vesting and settlement of outstanding restricted stock units granted on November 21, 2023, resulting from the full accelerated vesting in connection with Reporting Person's resignation from the Issuer's Board of Directors.

F3: This restricted stock unit was granted on June 11, 2023 and pursuant to the issuance upon full vesting as described in Footnote 1, is no longer outstanding.

F4: This restricted stock unit was granted on November 21, 2023 and pursuant to the issuance upon full vesting described in Footnote 2, is no longer outstanding.

F5: Each restricted stock unit represents the right to receive one share of common stock.

F6: Each option represents the right to purchase one share of common stock at the exercise price.

F7: Represents the modification of the option granted on June 11, 2023, resulting in (i) immediate vesting in full of the outstanding grant and (ii) extension of the exercise period until the expiration date in connection with Reporting Person's resignation from the Issuer's Board of Directors.

F8: Represents the modification of the option granted on November 21, 2023, resulting in (i) immediate vesting in full of the outstanding grant and (ii) extension of the exercise period until the expiration date in connection with Reporting Person's resignation from the Issuer's Board of Directors.

Transaction history

JSON API

Purchases/sales include open-market and private transactions. Plan disclosure applies to the filing; individual rows may differ. “Not disclosed” is not “unplanned.”

The cutoff filters transaction history only. Company summaries and owner relationships show the latest available disclosures. Parser corrections can improve historical records.

Transaction date	Company	Activity / security	Shares / units	Reported price	Reported value	Details
March 23, 2022 Filed Mar 23, 2022 22:52 UTC	XOMA Royalty Corp XOMA · Entity 30207	Exercise / conversionCommon Stock	1,111	$4.03	$4,477.33	Disclosure SEC source: 0001214659-22-004299 · marketforms-55844.xml · nonDerivative · entry 8 Neal James R · CIK 0001600865 · Director · CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 12,933 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. Read SEC document
March 22, 2022 Filed Mar 23, 2022 22:52 UTC	XOMA Royalty Corp XOMA · Entity 30207	Exercise / conversionStock Option (Right to Buy) · Derivative	2,339	$0.00 Strike: $4.03	$0.00	Disclosure SEC source: 0001214659-22-004299 · marketforms-55844.xml · derivative · entry 11 Neal James R · CIK 0001600865 · Director · CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 103,911 Underlying: Common Stock · 2,339 shares Expires 2027-02-10 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F2 · derivative.exercise_date: Shares subject to this option have fully vested as of December 31, 2017. Read SEC document
March 22, 2022 Filed Mar 23, 2022 22:52 UTC	XOMA Royalty Corp XOMA · Entity 30207	SaleCommon Stock	2,339	$30.02	$70,208.59	Disclosure SEC source: 0001214659-22-004299 · marketforms-55844.xml · nonDerivative · entry 4 Neal James R · CIK 0001600865 · Director · CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 11,822 F1 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $30.00 to $30.22, inclusive. The reporting person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range. Read SEC document
March 22, 2022 Filed Mar 23, 2022 22:52 UTC	XOMA Royalty Corp XOMA · Entity 30207	Exercise / conversionCommon Stock	2,339	$4.03	$9,426.17	Disclosure SEC source: 0001214659-22-004299 · marketforms-55844.xml · nonDerivative · entry 3 Neal James R · CIK 0001600865 · Director · CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 14,161 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. Read SEC document
March 21, 2022 Filed Mar 23, 2022 22:52 UTC	XOMA Royalty Corp XOMA · Entity 30207	Exercise / conversionStock Option (Right to Buy) · Derivative	50,000	$0.00 Strike: $4.03	$0.00	Disclosure SEC source: 0001214659-22-004299 · marketforms-55844.xml · derivative · entry 10 Neal James R · CIK 0001600865 · Director · CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 106,250 Underlying: Common Stock · 50,000 shares Expires 2027-02-10 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F2 · derivative.exercise_date: Shares subject to this option have fully vested as of December 31, 2017. Read SEC document
March 21, 2022 Filed Mar 23, 2022 22:52 UTC	XOMA Royalty Corp XOMA · Entity 30207	SaleCommon Stock	50,000	$29.01	$1,450,250.00	Disclosure SEC source: 0001214659-22-004299 · marketforms-55844.xml · nonDerivative · entry 2 Neal James R · CIK 0001600865 · Director · CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 11,822 Read SEC document
March 21, 2022 Filed Mar 23, 2022 22:52 UTC	XOMA Royalty Corp XOMA · Entity 30207	Exercise / conversionCommon Stock	50,000	$4.03	$201,500.00	Disclosure SEC source: 0001214659-22-004299 · marketforms-55844.xml · nonDerivative · entry 1 Neal James R · CIK 0001600865 · Director · CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 61,822 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. Read SEC document
December 21, 2021 Filed Dec 23, 2021 21:30 UTC	XOMA Royalty Corp XOMA · Entity 30207	GrantNon-Qualified Share Option (right to buy) · Derivative	60,000	$0.00 Strike: $22.56	$0.00	Disclosure SEC source: 0001214659-21-013606 · marketforms-54782.xml · derivative · entry 1 Neal James R · CIK 0001600865 · Director · CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 60,000 Underlying: Common Shares · 60,000 shares Expires 2031-12-21 F1 · derivative.exercise_date: Shares subject to this option shall vest in equal monthly installments over three years from the grant date. Read SEC document
November 18, 2021 Filed Feb 10, 2022 23:19 UTC	PALISADE BIO, INC. PALI · Entity 5803	GrantStock Option (right to buy) · Derivative	48,340	$0.00 Strike: $2.32	$0.00	Disclosure SEC source: 0001209191-22-008575 · doc4.xml · derivative · entry 1 Neal James R · CIK 0001600865 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 48,340 Underlying: Common Stock · 48,340 shares Expires 2032-11-17 F1 · derivative.exercise_date: 25% of the shares of Common Stock subject to the Option shall vest on each quarterly anniversary of the grant date over a one-year period. Read SEC document
June 25, 2021 Filed Jun 29, 2021 21:09 UTC	XOMA Royalty Corp XOMA · Entity 30207	SaleCommon Shares	686	$35.13	$24,101.44	Disclosure SEC source: 0001214659-21-007038 · marketforms-53209.xml · nonDerivative · entry 3 Neal James R · CIK 0001600865 · Director · CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 11,821.6 F3 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $34.78 to $35.47, inclusive. The reporting person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range. Read SEC document
June 25, 2021 Filed Jun 29, 2021 21:09 UTC	XOMA Royalty Corp XOMA · Entity 30207	SaleCommon Shares	1,171	$34.30	$40,169.98	Disclosure SEC source: 0001214659-21-007038 · marketforms-53209.xml · nonDerivative · entry 2 Neal James R · CIK 0001600865 · Director · CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 12,507.6 F2 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $33.785 to $34.730, inclusive. The reporting person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range. Read SEC document
June 25, 2021 Filed Jun 29, 2021 21:09 UTC	XOMA Royalty Corp XOMA · Entity 30207	SaleCommon Shares	7,170.4	$33.36	$239,202.39	Disclosure SEC source: 0001214659-21-007038 · marketforms-53209.xml · nonDerivative · entry 1 Neal James R · CIK 0001600865 · Director · CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 13,678.6 F1 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $32.77 to $33.73, inclusive. The reporting person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range. Read SEC document
April 27, 2021 Filed Apr 29, 2021 21:54 UTC	PALISADE BIO, INC. PALI · Entity 5803	GrantStock Option (Right to Buy) · Derivative	4,406	Not disclosed Strike: $26.85	Not disclosed	Disclosure SEC source: 0001209191-21-029078 · doc4.xml · derivative · entry 6 Neal James R · CIK 0001600865 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 4,406 Underlying: Common Stock · 4,406 shares Expires 2030-07-10 F12 · price: Received in the Merger in exchange for a stock option to acquire 162,069 shares of LBS common stock for $0.73 per share. F11 · derivative.exercise_date: The stock option vests according to the following schedule: 25% of the shares underlying the option vests on the grant date and the remaining 75% vested in three equal quarterly installments thereafter beginning on September 30, 2020. Read SEC document
April 27, 2021 Filed Apr 29, 2021 21:54 UTC	PALISADE BIO, INC. PALI · Entity 5803	GrantStock Option (Right to Buy) · Derivative	1,298	Not disclosed Strike: $41.20	Not disclosed	Disclosure SEC source: 0001209191-21-029078 · doc4.xml · derivative · entry 5 Neal James R · CIK 0001600865 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,298 Underlying: Common Stock · 1,298 shares Expires 2029-06-19 F10 · price: Received in the Merger in exchange for a stock option to acquire 47,758 shares of LBS common stock for $1.12 per share. F9 · derivative.exercise_date: The stock option is fully vested. Read SEC document
April 27, 2021 Filed Apr 29, 2021 21:54 UTC	PALISADE BIO, INC. PALI · Entity 5803	GrantStock Option (Right to Buy) · Derivative	5,091	Not disclosed Strike: $41.20	Not disclosed	Disclosure SEC source: 0001209191-21-029078 · doc4.xml · derivative · entry 4 Neal James R · CIK 0001600865 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 5,091 Underlying: Common Stock · 5,091 shares Expires 2029-04-25 F8 · price: Received in the Merger in exchange for a stock option to acquire 187,250 shares of LBS common stock for $1.12 per share. F7 · derivative.exercise_date: The stock option vested according to the following schedule: 25% of the shares underlying the option vested on the grant date and the remaining 75% vested in three equal quarterly installments thereafter beginning on June 30, 2019. Read SEC document
April 27, 2021 Filed Apr 29, 2021 21:54 UTC	PALISADE BIO, INC. PALI · Entity 5803	GrantStock Option (Right to Buy) · Derivative	1,359	Not disclosed Strike: $53.33	Not disclosed	Disclosure SEC source: 0001209191-21-029078 · doc4.xml · derivative · entry 3 Neal James R · CIK 0001600865 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,359 Underlying: Common Stock · 1,359 shares Expires 2028-07-24 F6 · price: Received in the Merger in exchange for a stock option to acquire 50,000 shares of LBS common stock for $1.45 per share. F5 · derivative.exercise_date: The stock option vested according to the following schedule: 50% of the shares underlying the option vested on the grant date and the remaining 50% vested in two equal quarterly installments thereafter beginning on September 30, 2018. Read SEC document
April 27, 2021 Filed Apr 29, 2021 21:54 UTC	PALISADE BIO, INC. PALI · Entity 5803	GrantStock Option (Right to Buy) · Derivative	3,398	Not disclosed Strike: $53.33	Not disclosed	Disclosure SEC source: 0001209191-21-029078 · doc4.xml · derivative · entry 2 Neal James R · CIK 0001600865 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 3,398 Underlying: Common Stock · 3,398 shares Expires 2028-04-05 F4 · price: Received in the Merger in exchange for a stock option to acquire 125,000 shares of LBS common stock for $1.45 per share. F3 · derivative.exercise_date: The stock option vested according to the following schedule: 25% of the shares underlying the option vested on the grant date and the remaining 75% vested in three equal quarterly installments thereafter beginning on June 30, 2018. Read SEC document
April 27, 2021 Filed Apr 29, 2021 21:54 UTC	PALISADE BIO, INC. PALI · Entity 5803	GrantStock Option (Right to Buy) · Derivative	849	Not disclosed Strike: $27.59	Not disclosed	Disclosure SEC source: 0001209191-21-029078 · doc4.xml · derivative · entry 1 Neal James R · CIK 0001600865 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 849 Underlying: Common Stock · 849 shares Expires 2027-11-10 F2 · price: Received in exchange for a stock option to acquire 31,250 shares of common stock of Leading BioSciences, Inc. ("LBS") for $0.75 per share, pursuant to the Agreement and Plan of Merger, dated December 16, 2020, among Seneca Biopharma Inc., Townsgate Acquisition Sub 1, Inc. and LBS (the "Merger"). Per the terms of the Merger, each share of LBS's common stock was converted into the right to receive 0.02719 shares of Seneca's common stock. In the Merger, the name of the Issuer was changed from Seneca Biopharma, Inc. to Palisade Bio, Inc. F1 · derivative.exercise_date: The stock option vested in four equal quarterly installments from the vesting commencement date. Read SEC document
April 09, 2021 Filed Apr 13, 2021 20:30 UTC	XOMA Royalty Corp XOMA · Entity 30207	GrantDepositary Shares - 8.375% B Cumulative Stock	8,000	$25.00	$200,000.00	Disclosure SEC source: 0001214659-21-004155 · marketforms-52234.xml · nonDerivative · entry 1 Neal James R · CIK 0001600865 · Director · CEO 10b5-1 filing: Not disclosed Ownership: Indirect · By spouse Disclosed balance after: 8,000 F1 · security: Purchased 8,000 depositary shares, each representing 1/1000 of a share of the Issuer's 8.375% Series B Cumulative Perpetual Preferred Stock (the "Series B Preferred Stock"), with liquidation preference of $25.00 per depositary share, in the Issuer's public offering at the public offering price of $25.00 per share. The terms of the Series B Preferred Stock are set forth in the Certificate of Designation of the 8.375% Series B Cumulative Perpetual Preferred Stock of the Issuer. Holders of the Series B Preferred Stock generally will have no voting rights, but will have limited voting rights if the Issuer fails to pay dividends for six or more quarters (whether or not declared or consecutive) and in certain other events. Read SEC document
February 17, 2021 Filed Feb 19, 2021 21:30 UTC	XOMA Royalty Corp XOMA · Entity 30207	GrantNon-Qualified Share Option (right to buy) · Derivative	60,268	$0.00 Strike: $38.93	$0.00	Disclosure SEC source: 0001214659-21-002126 · marketforms-51536.xml · derivative · entry 1 Neal James R · CIK 0001600865 · Director · CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 60,268 Underlying: Common Shares · 60,268 shares Expires 2031-02-17 F1 · derivative.exercise_date: Shares subject to this option shall vest in equal monthly installments over three years from the grant date. Read SEC document
December 15, 2020 Filed Dec 17, 2020 21:30 UTC	XOMA Royalty Corp XOMA · Entity 30207	Exercise / conversionStock Option (Right to Buy) · Derivative	26,000	$0.00 Strike: $5.50	$0.00	Disclosure SEC source: 0001214659-20-010509 · marketforms-50650.xml · derivative · entry 6 Neal James R · CIK 0001600865 · Director · CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 26,000 shares Expires 2017-12-22 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F5 · derivative.exercise_date: Shares subject to this option fully vested on February 21, 2017. Read SEC document
December 15, 2020 Filed Dec 17, 2020 21:30 UTC	XOMA Royalty Corp XOMA · Entity 30207	Grant8.625% Series A Cumulative Perpetual Preferred Stock	8,000	$25.00	$200,000.00	Disclosure SEC source: 0001214659-20-010509 · marketforms-50650.xml · nonDerivative · entry 5 Neal James R · CIK 0001600865 · Director · CEO 10b5-1 filing: Not disclosed Ownership: Indirect · By spouse Disclosed balance after: 8,000 F4 · security: Purchased 8,000 shares of the Issuer's 8.625% Series A Cumulative Perpetual Preferred Stock, with liquidation preference of $25.00 per share (the "Series A Preferred Stock"), in the Issuer's public offering at the public offering price of $25.00 per share. The terms of the Series A Preferred Stock are set forth in the Certificate of Designation of the 8.625% Series A Cumulative Perpetual Preferred Stock of the Issuer. Holders of the Series A Preferred Stock generally will have no voting rights, but will have limited voting rights if the Issuer fails to pay dividends for six or more quarters (whether or not declared or consecutive) and in certain other events. Read SEC document
December 15, 2020 Filed Dec 17, 2020 21:30 UTC	XOMA Royalty Corp XOMA · Entity 30207	SaleCommon Stock	5,706	$42.04	$239,900.21	Disclosure SEC source: 0001214659-20-010509 · marketforms-50650.xml · nonDerivative · entry 3 Neal James R · CIK 0001600865 · Director · CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 20,849 F1 · kind: The sales reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person. F3 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $41.98 to $42.10, inclusive. The reporting person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range. Read SEC document
December 15, 2020 Filed Dec 17, 2020 21:30 UTC	XOMA Royalty Corp XOMA · Entity 30207	SaleCommon Stock	20,294	$41.15	$835,098.10	Disclosure SEC source: 0001214659-20-010509 · marketforms-50650.xml · nonDerivative · entry 2 Neal James R · CIK 0001600865 · Director · CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 26,555 F1 · kind: The sales reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person. F2 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $40.9650 to $41.96, inclusive. The reporting person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range. Read SEC document
December 15, 2020 Filed Dec 17, 2020 21:30 UTC	XOMA Royalty Corp XOMA · Entity 30207	Exercise / conversionCommon Stock	26,000	$5.50	$143,000.00	Disclosure SEC source: 0001214659-20-010509 · marketforms-50650.xml · nonDerivative · entry 1 Neal James R · CIK 0001600865 · Director · CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 46,849 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. Read SEC document
November 23, 2020 Filed Nov 24, 2020 21:30 UTC	XOMA Royalty Corp XOMA · Entity 30207	Exercise / conversionStock Option (Right to Buy) · Derivative	13,126	$0.00 Strike: $5.50	$0.00	Disclosure SEC source: 0001214659-20-009865 · marketforms-50231.xml · derivative · entry 8 Neal James R · CIK 0001600865 · Director · CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 26,000 Underlying: Common Stock · 13,126 shares Expires 2026-12-22 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F5 · derivative.exercise_date: Shares subject to this option fully vested on February 21, 2017. Read SEC document
November 23, 2020 Filed Nov 24, 2020 21:30 UTC	XOMA Royalty Corp XOMA · Entity 30207	SaleCommon Stock	13,126	$32.96	$432,661.84	Disclosure SEC source: 0001214659-20-009865 · marketforms-50231.xml · nonDerivative · entry 5 Neal James R · CIK 0001600865 · Director · CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 20,849 F1 · kind: The sales reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person. F4 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $32.25 to $33.00, inclusive. The reporting person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range. Read SEC document
November 23, 2020 Filed Nov 24, 2020 21:30 UTC	XOMA Royalty Corp XOMA · Entity 30207	Exercise / conversionCommon Stock	13,126	$5.50	$72,193.00	Disclosure SEC source: 0001214659-20-009865 · marketforms-50231.xml · nonDerivative · entry 4 Neal James R · CIK 0001600865 · Director · CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 33,975 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. Read SEC document
November 20, 2020 Filed Nov 24, 2020 21:30 UTC	XOMA Royalty Corp XOMA · Entity 30207	Exercise / conversionStock Option (Right to Buy) · Derivative	6,874	$0.00 Strike: $5.50	$0.00	Disclosure SEC source: 0001214659-20-009865 · marketforms-50231.xml · derivative · entry 7 Neal James R · CIK 0001600865 · Director · CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 39,126 Underlying: Common Stock · 6,874 shares Expires 2026-12-22 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F5 · derivative.exercise_date: Shares subject to this option fully vested on February 21, 2017. Read SEC document
November 20, 2020 Filed Nov 24, 2020 21:30 UTC	XOMA Royalty Corp XOMA · Entity 30207	SaleCommon Stock	426	$33.35	$14,207.65	Disclosure SEC source: 0001214659-20-009865 · marketforms-50231.xml · nonDerivative · entry 3 Neal James R · CIK 0001600865 · Director · CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 20,849 F1 · kind: The sales reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person. F3 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $33.24 to $34.00, inclusive. The reporting person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range. Read SEC document
November 20, 2020 Filed Nov 24, 2020 21:30 UTC	XOMA Royalty Corp XOMA · Entity 30207	SaleCommon Stock	6,448	$32.46	$209,314.98	Disclosure SEC source: 0001214659-20-009865 · marketforms-50231.xml · nonDerivative · entry 2 Neal James R · CIK 0001600865 · Director · CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 21,275 F1 · kind: The sales reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person. F2 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $32.00 to $32.77, inclusive. The reporting person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range. Read SEC document
November 20, 2020 Filed Nov 24, 2020 21:30 UTC	XOMA Royalty Corp XOMA · Entity 30207	Exercise / conversionCommon Stock	6,874	$5.50	$37,807.00	Disclosure SEC source: 0001214659-20-009865 · marketforms-50231.xml · nonDerivative · entry 1 Neal James R · CIK 0001600865 · Director · CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 27,723 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. Read SEC document
November 05, 2020 Filed Nov 6, 2020 22:20 UTC	XOMA Royalty Corp XOMA · Entity 30207	Exercise / conversionStock Option (Right to Buy) · Derivative	10,000	$0.00 Strike: $5.50	$0.00	Disclosure SEC source: 0001214659-20-009223 · marketforms-49968.xml · derivative · entry 5 Neal James R · CIK 0001600865 · Director · CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 46,000 Underlying: Common Stock · 10,000 shares Expires 2026-12-22 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F3 · derivative.exercise_date: Shares subject to this option fully vested on February 21, 2017. Read SEC document
November 05, 2020 Filed Nov 6, 2020 22:20 UTC	XOMA Royalty Corp XOMA · Entity 30207	SaleCommon Stock	727	$27.50	$19,992.50	Disclosure SEC source: 0001214659-20-009223 · marketforms-49968.xml · nonDerivative · entry 3 Neal James R · CIK 0001600865 · Director · CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 20,849 Read SEC document
November 05, 2020 Filed Nov 6, 2020 22:20 UTC	XOMA Royalty Corp XOMA · Entity 30207	SaleCommon Stock	9,273	$25.90	$240,212.43	Disclosure SEC source: 0001214659-20-009223 · marketforms-49968.xml · nonDerivative · entry 2 Neal James R · CIK 0001600865 · Director · CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 21,576 F1 · kind: The sales reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person. F2 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $25.6050 to $26.45, inclusive. The reporting person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range. Read SEC document
November 05, 2020 Filed Nov 6, 2020 22:20 UTC	XOMA Royalty Corp XOMA · Entity 30207	Exercise / conversionCommon Stock	10,000	$5.50	$55,000.00	Disclosure SEC source: 0001214659-20-009223 · marketforms-49968.xml · nonDerivative · entry 1 Neal James R · CIK 0001600865 · Director · CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 30,849 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. Read SEC document
March 23, 2020 Filed Mar 24, 2020 20:38 UTC	XOMA Royalty Corp XOMA · Entity 30207	PurchaseCommon Shares	1,000	$14.50	$14,500.00	Disclosure SEC source: 0001214659-20-002883 · marketforms-48432.xml · nonDerivative · entry 1 Neal James R · CIK 0001600865 · Director · CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 20,849 Read SEC document
March 20, 2020 Filed Mar 23, 2020 20:30 UTC	XOMA Royalty Corp XOMA · Entity 30207	PurchaseCommon Shares	1,000	$16.41	$16,410.00	Disclosure SEC source: 0001214659-20-002831 · marketforms-48401.xml · nonDerivative · entry 1 Neal James R · CIK 0001600865 · Director · CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 19,849 Read SEC document
March 13, 2020 Filed Mar 16, 2020 20:30 UTC	XOMA Royalty Corp XOMA · Entity 30207	GrantNon Qualified Stock Option (right to buy) · Derivative	66,200	$0.00 Strike: $18.84	$0.00	Disclosure SEC source: 0001214659-20-002654 · marketforms-48330.xml · derivative · entry 1 Neal James R · CIK 0001600865 · Director · CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 66,200 Underlying: Common Shares · 66,200 shares Expires 2030-03-13 F1 · derivative.exercise_date: Shares subject to this option shall vest in equal monthly installments over three years from the grant date. Read SEC document
December 23, 2019 Filed Jan 16, 2020 22:33 UTC	XOMA Royalty Corp XOMA · Entity 30207	OtherSubscription Rights (right to buy) · Derivative	1,180	$0.00 Strike: $22.00	$0.00	Disclosure SEC source: 0001214659-20-000414 · marketforms-47459.xml · derivative · entry 3 Neal James R · CIK 0001600865 · Director · CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 1,180 shares Expires 2019-12-18 Read SEC document
December 23, 2019 Filed Jan 16, 2020 22:33 UTC	XOMA Royalty Corp XOMA · Entity 30207	OtherCommon Shares	1,180	$22.00	$25,960.00	Disclosure SEC source: 0001214659-20-000414 · marketforms-47459.xml · nonDerivative · entry 1 Neal James R · CIK 0001600865 · Director · CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 18,849 F1 · shares: The reporting person exercised in full his subscription rights (each subscription right entitling it to purchase 0.067 shares of XOMA Corporation ("XOMA") common stock, at a subscription price equal to $22.00 per share), issued pro rata to holders of XOMA common stock on the record date for the rights offering. The reporting person acquired these shares of common stock at the closing of the rights offering. Read SEC document
November 06, 2019 Filed Nov 8, 2019 21:30 UTC	XOMA Royalty Corp XOMA · Entity 30207	Exercise / conversionStock Option (Right to Buy) · Derivative	4,348	$0.00 Strike: $5.50	$0.00	Disclosure SEC source: 0001214659-19-006961 · marketforms-46066.xml · derivative · entry 4 Neal James R · CIK 0001600865 · Director · CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 56,000 Underlying: Common Stock · 4,348 shares Expires 2026-12-22 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. Read SEC document
November 06, 2019 Filed Nov 8, 2019 21:30 UTC	XOMA Royalty Corp XOMA · Entity 30207	SaleCommon Stock	4,348	$22.00	$95,656.00	Disclosure SEC source: 0001214659-19-006961 · marketforms-46066.xml · nonDerivative · entry 2 Neal James R · CIK 0001600865 · Director · CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 17,669 F1 · kind: The sales reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person. Read SEC document
November 06, 2019 Filed Nov 8, 2019 21:30 UTC	XOMA Royalty Corp XOMA · Entity 30207	Exercise / conversionCommon Stock	4,348	$5.50	$23,914.00	Disclosure SEC source: 0001214659-19-006961 · marketforms-46066.xml · nonDerivative · entry 1 Neal James R · CIK 0001600865 · Director · CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 22,017 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. Read SEC document
September 20, 2019 Filed Sep 20, 2019 23:40 UTC	XOMA Royalty Corp XOMA · Entity 30207	Exercise / conversionStock Option (right to buy) · Derivative	5,452	$0.00 Strike: $5.50	$0.00	Disclosure SEC source: 0001209191-19-050393 · doc4.xml · derivative · entry 11 Neal James R · CIK 0001600865 · Director · Chief Executive Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 60,348 Underlying: Common Stock · 5,452 shares Expires 2026-12-22 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. Read SEC document
September 20, 2019 Filed Sep 20, 2019 23:40 UTC	XOMA Royalty Corp XOMA · Entity 30207	SaleCommon Stock	5,452	$20.23	$110,270.52	Disclosure SEC source: 0001209191-19-050393 · doc4.xml · nonDerivative · entry 7 Neal James R · CIK 0001600865 · Director · Chief Executive Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 17,669 F2 · kind: The sales reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person. F6 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $20.00 to $20.7150, inclusive. The reporting person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range Read SEC document
September 20, 2019 Filed Sep 20, 2019 23:40 UTC	XOMA Royalty Corp XOMA · Entity 30207	Exercise / conversionCommon Stock	5,452	$5.50	$29,986.00	Disclosure SEC source: 0001209191-19-050393 · doc4.xml · nonDerivative · entry 6 Neal James R · CIK 0001600865 · Director · Chief Executive Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 23,121 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. Read SEC document
September 19, 2019 Filed Sep 20, 2019 23:40 UTC	XOMA Royalty Corp XOMA · Entity 30207	Exercise / conversionStock Option (right to buy) · Derivative	6,370	$0.00 Strike: $5.50	$0.00	Disclosure SEC source: 0001209191-19-050393 · doc4.xml · derivative · entry 10 Neal James R · CIK 0001600865 · Director · Chief Executive Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 65,800 Underlying: Common Stock · 6,370 shares Expires 2026-12-22 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. Read SEC document
September 19, 2019 Filed Sep 20, 2019 23:40 UTC	XOMA Royalty Corp XOMA · Entity 30207	SaleCommon Stock	2,642	$21.73	$57,415.15	Disclosure SEC source: 0001209191-19-050393 · doc4.xml · nonDerivative · entry 5 Neal James R · CIK 0001600865 · Director · Chief Executive Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 17,669 F2 · kind: The sales reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person. F5 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $21.6350 to $21.9750, inclusive. The reporting person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range. Read SEC document
September 19, 2019 Filed Sep 20, 2019 23:40 UTC	XOMA Royalty Corp XOMA · Entity 30207	SaleCommon Stock	3,728	$20.69	$77,128.96	Disclosure SEC source: 0001209191-19-050393 · doc4.xml · nonDerivative · entry 4 Neal James R · CIK 0001600865 · Director · Chief Executive Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 20,311 F2 · kind: The sales reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person. F4 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $20.52 to $21.40, inclusive. The reporting person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range. Read SEC document

Value uses the disclosed total when available, otherwise shares × reported transaction price. It is not an estimate of exercise cash cost or investment performance.