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| SEC Filing | Company/Stock | Trade Date | Transaction | Shares | Avg. Price | Total | % Holdings | Gain/Loss |
|---|---|---|---|---|---|---|---|---|
| 25-Jan-24 6:01 AM View:  | Galena Biopharma, Inc. (SLS) | 22-Jan-24 | Grant | 6,000 | -- | -- | 136% 4.4K to 10.4K | |
| 03-Feb-23 5:14 PM View: | Galena Biopharma, Inc. (SLS) | 02-Feb-23 | Grant | 2,500 | -- | -- | 132% 1.9K to 4.4K | |
| 01-Feb-22 5:06 PM View: | Galena Biopharma, Inc. (SLS) | 31-Jan-22 | Grant | 1,900 | -- | -- | 100% 0 to 1.9K | |
| 22-Dec-17 5:13 PM View: | Aravive, Inc. (ARAV) | 20-Dec-17 | Grant | 11,200 | -- | -- | 101% 11.08K to 22.28K | |
| 06-Jun-17 7:57 PM View: | Aravive, Inc. (ARAV) | 25-May-17 | Grant | 3,480 | -- | -- | 46% 7.6K to 11.08K | |
| 18-May-17 3:02 PM View: | XOMA Ltd. (XOMA) | 16-May-17 | Market Sale | 39,540 | $6.24 | $246,919.00 | (87%) 45.53K to 6.0K | (126%) |
| 23-Dec-16 6:38 PM View: | XOMA Ltd. (XOMA) | 21-Dec-16 | Market Sale | 13,549 | $5.75 | $77,906.80 | (24%) 56.8K to 43.25K | (145%) |
| 26-Aug-16 5:12 PM View: | Aravive, Inc. (ARAV) | 25-Aug-16 | Market Sale | 1,600 | $12.97 | $20,754.90 | (17%) 9.2K to 7.6K | 92% |
| 20-May-16 5:27 PM View: | Aravive, Inc. (ARAV) | 18-May-16 | Grant | 4,625 | -- | -- | 101% 4.58K to 9.2K | |
| 22-Mar-16 8:55 PM View: | XOMA Ltd. (XOMA) | 22-Mar-16 | Market Option Sale | 36,907 | $0.78 | $28,960.90 | (3%) 1.22M to 1.18M | 10% |
| 22-Mar-16 8:55 PM View: | XOMA Ltd. (XOMA) | 22-Mar-16 | Market Sale | 44,115 | $0.78 | $34,617.00 | (4%) 1.18M to 1.14M | 10% |
| 22-Mar-16 8:55 PM View: | XOMA Ltd. (XOMA) | 18-Mar-16 | Option Exercise | 36,907 | -- | -- | 3% 1.18M to 1.22M | |
| 29-Feb-16 10:00 PM View: | XOMA Ltd. (XOMA) | 25-Feb-16 | Grant | 541,600 | -- | -- | 85% 638.45K to 1.18M | |
| 16-Feb-16 10:00 PM View: | XOMA Ltd. (XOMA) | 31-Dec-15 | Acquisition (other) Duplicate | 8,721 | $1.38 | $12,000.10 | 1% 629.73K to 638.45K | (49%) |
| 18-Aug-15 9:24 PM View: | XOMA Ltd. (XOMA) | 14-Aug-15 | Disposition | 35,799 | $0.83 | $29,838.50 | (5%) 665.52K to 629.73K | 16% |
| 18-Aug-15 9:24 PM View: | XOMA Ltd. (XOMA) | 14-Aug-15 | Option Exercise | 94,573 | -- | -- | 17% 570.95K to 665.52K | |
| 17-Jul-15 6:03 PM View: | XOMA Ltd. (XOMA) | 15-Jul-15 | Option Exercise | 10,000 | $1.24 | $12,400.00 | 2% 570.95K to 580.95K | |
| 17-Jul-15 6:03 PM View: | XOMA Ltd. (XOMA) | 15-Jul-15 | Market Option Sale | 10,000 | $4.49 | $44,869.00 | (2%) 580.95K to 570.95K | 84% |
| 01-Jul-15 6:22 PM View: | Aravive, Inc. (ARAV) | 29-Jun-15 | Grant | 4,575 | -- | -- | 100% 0 to 4.58K | |
| 17-Jun-15 3:41 PM View: | XOMA Ltd. (XOMA) | 15-Jun-15 | Option Exercise | 10,000 | $1.24 | $12,400.00 | 2% 570.95K to 580.95K | |
| 17-Jun-15 3:41 PM View: | XOMA Ltd. (XOMA) | 15-Jun-15 | Market Option Sale | 10,000 | $3.64 | $36,362.00 | (2%) 580.95K to 570.95K | 81% |
| 19-May-15 6:08 PM View: | XOMA Ltd. (XOMA) | 15-May-15 | Option Exercise | 10,000 | $1.24 | $12,400.00 | 2% 570.95K to 580.95K | |
| 19-May-15 6:08 PM View: | XOMA Ltd. (XOMA) | 15-May-15 | Market Option Sale | 10,000 | $3.34 | $33,400.00 | (2%) 580.95K to 570.95K | 79% |
| 15-Apr-15 6:50 PM View: | XOMA Ltd. (XOMA) | 15-Apr-15 | Option Exercise | 10,000 | $1.24 | $12,400.00 | 2% 570.95K to 580.95K | |
| 15-Apr-15 6:50 PM View: | XOMA Ltd. (XOMA) | 15-Apr-15 | Market Option Sale | 10,000 | $3.86 | $38,606.00 | (2%) 580.95K to 570.95K | 82% |
| 20-Mar-15 7:30 PM View: | XOMA Ltd. (XOMA) | 18-Mar-15 | Disposition | 44,877 | $4.01 | $179,979.00 | (7%) 615.83K to 570.95K | 82% |
| 20-Mar-15 7:30 PM View: | XOMA Ltd. (XOMA) | 18-Mar-15 | Option Exercise | 36,907 | -- | -- | 6% 578.92K to 615.83K | |
| 17-Mar-15 6:52 PM View: | XOMA Ltd. (XOMA) | 16-Mar-15 | Option Exercise | 10,000 | $1.24 | $12,400.00 | 2% 578.92K to 588.92K | |
| 17-Mar-15 6:52 PM View: | XOMA Ltd. (XOMA) | 16-Mar-15 | Market Option Sale | 10,000 | $3.72 | $37,223.00 | (2%) 588.92K to 578.92K | 81% |
| 02-Mar-15 7:42 PM View: | XOMA Ltd. (XOMA) | 26-Feb-15 | Grant | 193,200 | -- | -- | 50% 385.72K to 578.92K | |
| 19-Feb-15 6:09 PM View: | XOMA Ltd. (XOMA) | 17-Feb-15 | Option Exercise | 10,000 | $1.24 | $12,400.00 | 3% 385.72K to 395.72K | |
| 19-Feb-15 6:09 PM View: | XOMA Ltd. (XOMA) | 17-Feb-15 | Market Option Sale | 10,000 | $3.52 | $35,192.00 | (3%) 395.72K to 385.72K | 80% |
| 16-Jan-15 5:22 PM View: | XOMA Ltd. (XOMA) | 15-Jan-15 | Option Exercise | 10,000 | $1.24 | $12,400.00 | 3% 382.72K to 392.72K | |
| 16-Jan-15 5:22 PM View: | XOMA Ltd. (XOMA) | 15-Jan-15 | Market Option Sale | 10,000 | $3.46 | $34,582.00 | (3%) 392.72K to 382.72K | 80% |
| 17-Feb-15 6:15 PM View: | XOMA Ltd. (XOMA) | 31-Dec-14 | Acquisition (other) Duplicate | 3,001 | $3.83 | $11,498.30 | < 1% 382.72K to 385.72K | (82%) |
| 16-Dec-14 1:01 PM View: | XOMA Ltd. (XOMA) | 15-Dec-14 | Option Exercise | 10,000 | $1.24 | $12,400.00 | 3% 382.72K to 392.72K | |
| 16-Dec-14 1:01 PM View: | XOMA Ltd. (XOMA) | 15-Dec-14 | Market Option Sale | 10,000 | $4.49 | $44,929.00 | (3%) 392.72K to 382.72K | 84% |
| 17-Nov-14 5:44 PM View: | XOMA Ltd. (XOMA) | 13-Nov-14 | Option Exercise | 100,664 | -- | -- | 35% 284.69K to 385.35K | |
| 17-Nov-14 5:44 PM View: | XOMA Ltd. (XOMA) | 13-Nov-14 | Market Option Sale | 2,630 | $3.89 | $10,237.00 | (< 1%) 385.35K to 382.72K | 82% |
| 15-Oct-14 6:20 PM View: | XOMA Ltd. (XOMA) | 15-Oct-14 | Option Exercise | 10,000 | $1.24 | $12,400.00 | 3% 340.9K to 350.9K | |
| 15-Oct-14 6:20 PM View: | XOMA Ltd. (XOMA) | 15-Oct-14 | Market Option Sale | 10,000 | $3.87 | $38,690.00 | (3%) 350.9K to 340.9K | 82% |
| 16-Sep-14 4:41 PM View: | XOMA Ltd. (XOMA) | 15-Sep-14 | Option Exercise | 10,000 | $1.24 | $12,400.00 | 3% 340.9K to 350.9K | |
| 16-Sep-14 4:41 PM View: | XOMA Ltd. (XOMA) | 15-Sep-14 | Market Option Sale | 10,000 | $4.56 | $45,577.00 | (3%) 350.9K to 340.9K | 85% |
| 18-Aug-14 6:21 PM View: | XOMA Ltd. (XOMA) | 15-Aug-14 | Option Exercise | 10,000 | $1.24 | $12,400.00 | 3% 395.72K to 405.72K | |
| 18-Aug-14 6:21 PM View: | XOMA Ltd. (XOMA) | 15-Aug-14 | Market Option Sale | 64,823 | $4.30 | $279,035.00 | (16%) 405.72K to 340.9K | 84% |
| 18-Aug-14 6:21 PM View: | XOMA Ltd. (XOMA) | 14-Aug-14 | Option Exercise | 94,574 | -- | -- | 31% 301.15K to 395.72K | |
| 16-Jul-14 5:18 PM View: | XOMA Ltd. (XOMA) | 15-Jul-14 | Option Exercise | 10,000 | $1.24 | $12,400.00 | 3% 301.15K to 311.15K | |
| 16-Jul-14 5:18 PM View: | XOMA Ltd. (XOMA) | 15-Jul-14 | Market Option Sale | 10,000 | $4.03 | $40,285.00 | (3%) 311.15K to 301.15K | 83% |
| 18-Jun-14 5:14 PM View: | XOMA Ltd. (XOMA) | 16-Jun-14 | Option Exercise | 10,000 | $1.24 | $12,400.00 | 3% 301.15K to 311.15K | |
| 18-Jun-14 5:14 PM View: | XOMA Ltd. (XOMA) | 16-Jun-14 | Market Option Sale | 10,000 | $4.54 | $45,410.00 | (3%) 311.15K to 301.15K | 85% |