Current Report Filing (8-k)
March 11 2019 - 5:10PM
Edgar (US Regulatory)
UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
FORM
8-K
CURRENT
REPORT
Pursuant to Section 13 or 15(d)
of the Securities Exchange Act of 1934
Date of Report (Date of earliest event reported) March 11, 2019
XOMA CORPORATION
(Exact
name of registrant as specified in its charter)
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000-14710
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Delaware
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52-2154066
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(Commission
File Number)
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(State or other jurisdiction
of incorporation)
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(IRS Employer
Identification No.)
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2910 Seventh Street, Berkeley,
California
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94710
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(Address of principal executive offices)
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(Zip Code)
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Registrants telephone number, including area code
(510) 204-7200
(Former name or former address, if changed since last report.)
Check the appropriate box below if the Form
8-K
filing is intended to simultaneously satisfy the filing obligation of
the registrant under any of the following provisions (
see
General Instruction A.2. below):
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Written communications pursuant to Rule 425 under the Securities Act (17 CFR 230.425)
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☐
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Soliciting material pursuant to Rule
14a-12
under the Exchange Act (17
CFR
240.14a-12)
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Pre-commencement
communications pursuant to Rule
14d-2(b)
under the Exchange Act (17 CFR
240.14d-2(b))
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☐
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Pre-commencement
communications pursuant to Rule
13e-4(c)
under the Exchange Act (17 CFR
240.13e-4(c))
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Indicate by check mark whether the registrant is an emerging growth company as defined in Rule 405 of the Securities Act of 1933 (§
230.405 of this chapter) or Rule
12b-2
of the Securities Exchange Act of 1934 (§
240.12b-2
of this chapter).
Emerging growth company ☐
If
an emerging growth company, indicate by check mark if the registrant has elected not to use the extended transition period for complying with any new or revised financial accounting standards provided pursuant to Section 13(a) of the Exchange
Act. ☐
Item 7.01
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Regulation FD Disclosure
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Beginning on March 12, 2019, XOMA Corporation (the Company) will participate in conferences with investors and analysts during the Cowen and
Company 38th Annual Health Care Conference in Boston, Massachusetts. A copy of the Companys presentation materials has been posted to the Companys website and is attached hereto as Exhibit 99.1.
Limitation of Incorporation by Reference
In accordance
with General Instruction B.2.
of Form 8-K, this
information, including the Exhibit, is furnished pursuant to Item 7.01 and shall not be deemed to be filed for the purpose of
Section 18 of the Securities Exchange Act of 1934, as amended, or otherwise subject to the liabilities of that section. The information in this Item 7.01 of this Current Report
on Form 8-K will
not be deemed an admission as to the materiality of any information that is required to be disclosed solely by Regulation FD.
Cautionary Statements
This filing and the presentation
include forward-looking statements within the meaning of Section 27A of the Securities Act of 1933, as amended, and Section 21E of the Securities Exchange Act of 1934, as amended. Although we believe that the expectations
reflected in the forward-looking statements are reasonable, we can give no assurance that such expectations will prove to be correct. Important factors that could impair the Companys royalty assets or business are disclosed in the Risk
Factors contained in the Companys 2018 Annual Report
on Form 10-K filed
with the Securities and Exchange Commission on March 7, 2019, and updated in subsequent filings. All
forward-looking statements are expressly qualified in their entirety by such factors. We do not undertake any duty to update any forward-looking statement except as required by law
Item 9.01
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Financial Statements and Exhibits
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(d) Exhibits
SIGNATURES
Pursuant to the requirements of the Securities Exchange Act of 1934, the registrant has duly caused this report to be signed on its behalf by the undersigned
hereunto duly authorized.
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Date: March 11, 2019
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XOMA Corporation
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By:
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/s/ Thomas Burns
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Thomas Burns
Senior Vice President, Finance
and
Chief Financial Officer
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