UNITED STATES

SECURITIES AND EXCHANGE COMMISSION

Washington, D.C. 20549

 

 

FORM 8-A

 

 

FOR REGISTRATION OF CERTAIN CLASSES OF SECURITIES

PURSUANT TO SECTION 12(b) OR (g) OF

THE SECURITIES EXCHANGE ACT OF 1934

 

 

XOMA CORPORATION

(Exact name of registrant as specified in its charter)

 

 

 

Delaware   52-2154066
(State or other jurisdiction of incorporation or organization)   (I.R.S. Employer Identification No.)
2200 Powell St., Ste 310 Emeryville, CA   94608-1818
(Address of principal executive offices)   (Zip Code)

Securities to be registered pursuant to Section 12(b) of the Act:

 

Title of each class

to be so registered

 

Name of each exchange on which

each class

Depositary Shares (each representing 1/1000th in a share of 8.375% Series B Cumulative Perpetual Preferred Stock, par value $0.05 per share)   The Nasdaq Stock Market LLC

 

 

If this form relates to the registration of a class of securities pursuant to Section 12(b) of the Exchange Act and is effective pursuant to General Instruction A.(c) or (e), check the following box.  ☒

If this form relates to the registration of a class of securities pursuant to Section 12(g) of the Exchange Act and is effective pursuant to General Instruction A.(d) or (e), check the following box.  ☐

If this form relates to the registration of a class of securities concurrently with a Regulation A offering, check the following box.  ☐

Securities Act registration statement or Regulation A offering statement file number to which this form relates: File No. 333-254073

Securities to be registered pursuant to Section 12(g) of the Act:

None

(Title of Class)

 

 

 


INFORMATION REQUIRED IN REGISTRATION STATEMENT

 

Item 1.

Description of Registrant’s Securities to be Registered.

The class of securities to be registered hereby are the depositary shares (the “Depositary Shares”), each representing 1/1000th interest in a share of 8.375% Series B Cumulative Perpetual Preferred Stock, par value $0.05 per share and liquidation preference of $25,000 per share (equivalent to a $25.00 liquidation preference per Depositary Share) (the “Series B Preferred Stock”) of XOMA Corporation (the “Company”). The description of the terms of the Depositary Shares and the Series B Preferred Stock set forth under the heading set forth in the section “Description of Series B Preferred Stock and The Depositary Shares” in the Company’s prospectus supplement dated April 6, 2021 and in the section “Description of Depositary Shares” and “Description of Capital Stock - Preferred Stock” in the accompanying prospectus that constitutes a part of the Company’s Shelf Registration Statement on Form S-3 (File No. 333-254073), which was declared effective by the Securities and Exchange Commission on March 19, 2021, are incorporated herein by reference.

 

Item 2.

Exhibits.

The following exhibits are filed as a part of this Registration Statement:

 

Exhibit
Number
  

Exhibit Description

   Form      SEC File No.    Exhibit   

Filing
Date

3.1    Certificate of Incorporation of XOMA Corporation      8-K      000-14710    3.1    01/03/2012
3.2    Certificate of Amendment of Certificate of Incorporation of XOMA Corporation      8-K      000-14710    3.1    05/31/2012
3.3    Certificate of Amendment of Amended Certificate of Incorporation of XOMA Corporation      8-K      000-14710    3.1    05/28/2014
3.4    Certificate of Amendment to the Amended Certificate of Incorporation of XOMA Corporation      8-K      000-14710    3.1    10/18/2016
3.5    Certificate of Designation of Preferences, Rights and Limitations of Series X Convertible Preferred Stock      8-K      000-14710    3.1    02/16/2017
3.6    Certificate of Designation of 8.625% Series A Cumulative Perpetual Preferred Stock      8-K      000-14710    3.1    12/11/2020
3.7    Certificate of Designation of 8.375% Series B Cumulative Perpetual Preferred Stock      8-K      001-39801    3.1    04/08/2021
3.8    By-laws of XOMA Corporation      8-K      000-14710    3.2    01/03/2012
4.1    Reference is made to Exhibits 3.1, 3.2, 3.3, 3.4, 3.5, 3.6 and 3.7            
4.2    Specimen of Common Stock Certificate      8-K      000-14710    4.1    01/03/2012
4.3    Deposit Agreement, dated April 9, 2021 among XOMA Corporation, American Stock Transfer & Trust Company, LLC, as Depositary, and the holders of depositary receipts, with respect to XOMA Corporation’s 8.375% Series B Cumulative Perpetual Preferred Stock      8-K      001-39801    4.1    4/08/2021
4.4    Form of Warrant (May 2018 Warrant)      10-Q      000-14710    4.6    08/07/2018
4.5    Form of Warrant (March 2019 Warrant)      10-Q      000-14710    4.7    05/06/2019


SIGNATURE

Pursuant to the requirements of Section 12 of the Securities Exchange Act of 1934, the registrant has duly caused this registration statement to be signed on its behalf by the undersigned, thereto duly authorized.

 

Date: April 8, 2021     XOMA Corporation
    By:  

/s/ Thomas Burns

     

Thomas Burns

Senior Vice President, Finance and Chief Financial Officer

 

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