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Original filing (PDF)20251013142612NAL0003184082001
XOMA ROYALTY CORPORATION
Form 5500
FILING_RECEIVED
XOMA ROYALTY DEFERRED SAVINGS PLAN
401(k) retirement plan
Active participants
13
Accounts w/ balance
125
Plan assets (EOY)
$25.4M
Net assets (EOY)
$25.4M
How this plan invests
This plan
14 pooled trusts
Schedule D
19 securities
funds · stocks · CUSIPs
Holdings are itemized directly on this plan's Schedule of Assets, below.
Plan health score (directional)
100
/ 100
Grade A
Top-tier plan health
Directional indicator computed from public Form 5500 data — compliance, concentration, cost, vendor stack and participation. Not a fiduciary tool.
Compliance & disclosures
100
Concentration risk
100
Total plan cost
100
Vendor stack
100
Participation health
100
Decision-maker contacts
CFO / Head of HR / Benefits Manager — verified email + LinkedIn for XOMA ROYALTY CORPORATION.
Plan sponsor
Name
XOMA ROYALTY CORPORATION
EIN
52-2154066
Address
2200 POWELL STREET SUITE 310 · EMERYVILLE, CA · 94608
Phone
(510) 644-1170
Industry
Manufacturingsee all
Plan administrator
Same as plan sponsor.
Plan characteristics
Plan number
001
Plan year
2024
Plan year begin
2024-01-01
Tax period
2024-12-31
Filed
2025-10-13
Pension benefit codes
2E · Profit-sharing
2F · ERISA section 404(c)
2H · Partial participant-directed accounts
2J · 401(k) feature
2K · 401(m) arrangement
2S · Automatic enrollment
2T · Default investment account (QDIA)
3D · Pre-approved plan (master / prototype / VS)
3H · Sponsor in controlled / affiliated group
Audit & trust (Schedule H)
Auditor
WITHUMSMITH+BROWN, PC
Trustee / custodian
—
Trustee phone
—
Service providers (Schedule C)
4 rowsRecordkeeper
1| Name | EIN | Location | Relation | Direct comp | Indirect comp |
|---|---|---|---|---|---|
| EMPOWER ANNUITY INSURANCE COMPANY | 06-1050034 | GREENWOOD VILLAGE, CO | RECORDKEEPER | $5K | — |
Advisor / Consultant
1| Name | EIN | Location | Relation | Direct comp | Indirect comp |
|---|---|---|---|---|---|
| WITHUMSMITH+BROWN, PC | — | PRINCETON, NJ | INVESTMENT ADVISOR | $17K | — |
Other
2| Name | EIN | Location | Relation | Direct comp | Indirect comp |
|---|---|---|---|---|---|
| ROCATON INVESTMENT ADVISORS LLC | — | NORWALK, CT | OTHER | $31K | — |
| GOLDMAN SACHS ASSET MANAGEMENT LP | — | NEW YORK, NY | OTHER | $11K | — |
Investments
6 direct securities · 14 pooled funds· $25.3M(99% of reported assets)
Rows tagged as a trust or pooled fund hold many underlying securities. Click one to drill into its own Schedule of Assets — where the individual funds, shares, and CUSIPs live.
Common Collective Trust
$13.8M
13 holdings
Uncategorized
$11.0M
6 holdings
Pooled Separate Account
$477K
1 holding
| PI | Investment | Type | Shares / units | Cost | Current value | % of plan |
|---|---|---|---|---|---|---|
| STATE STREET S&P 500 INDEX K STATE STREET GLOBAL ADVISORS COLLECTIVE TRUSTS · EIN 90-0337987 / PN 388 | Common Collective Trust | — | — | $5.5M | 21.4% | |
| T ROWE PRICE LARGE CAP GROWTH TR E T. ROWE PRICE COLLECTIVE TRUSTS · EIN 32-6528532 / PN 001 | Common Collective Trust | — | — | $3.9M | 15.5% | |
| BlackRock Advantage SMID Cap - | — | — | — | $3.7M | 14.4% | |
| Empower Guaranteed Income Fund - | — | — | — | $2.8M | 11.0% | |
| American Funds Europacific Growth R6 - | — | — | — | $1.8M | 7.0% | |
| PRUDENTIAL CORE BOND FUND 7 PRUDENTIAL COLLECTIVE INVESTMENT TRUST · EIN 23-6994310 / PN 125 | Common Collective Trust | — | — | $1.6M | 6.3% | |
| XOMA Common Stock | — | — | $1.7M | $1.3M | 5.0% | |
| MFS Value Fund - | — | — | — | $1.1M | 4.4% | |
| STATE ST TARGET RET 2040 NL CL P STATE STREET GLOBAL ADVISORS · EIN 90-0337987 / PN 485 | Common Collective Trust | — | — | $559K | 2.2% | |
| STATE ST TARGET RET 2020 NL CL P STATE STREET GLOBAL ADVISORS · EIN 90-0337987 / PN 481 | Common Collective Trust | — | — | $541K | 2.1% | |
| STATE ST TARGET RET 2025 NL CL P STATE STREET GLOBAL ADVISORS · EIN 90-0337987 / PN 482 | Pooled Separate Account | — | — | $477K | 1.9% | |
| STATE ST TARGET RET 2035 NL CL P STATE STREET GLOBAL ADVISORS · EIN 90-0337987 / PN 484 | Common Collective Trust | — | — | $410K | 1.6% | |
| STATE ST TARGET RET 2030 NL CL P STATE STREET GLOBAL ADVISORS · EIN 90-0337987 / PN 483 | Common Collective Trust | — | — | $378K | 1.5% | |
| PIMCO Income Institutional Class - | — | — | — | $377K | 1.5% | |
| STATE ST TARGET RET INCOME NL CL P STATE STREET GLOBAL ADVISORS · EIN 90-0337987 / PN 479 | Common Collective Trust | — | — | $315K | 1.2% | |
| SSGA RUSSELL SMALL/MID CAP INDEX FU STATE STREET GLOBAL ADVISORS · EIN 90-0337987 / PN 461 | Common Collective Trust | — | — | $264K | 1.0% | |
| STATE ST TARGET RET 2050 NL CL P STATE STREET GLOBAL ADVISORS · EIN 90-0337987 / PN 487 | Common Collective Trust | — | — | $121K | 0.5% | |
| STATE ST TARGET RET 2045 NL CL P STATE STREET GLOBAL ADVISORS · EIN 90-0337987 / PN 486 | Common Collective Trust | — | — | $110K | 0.4% | |
| SSGA US INFLATION PROTECTED BD IDX STATE STREET GLOBAL ADVISORS COLLECTIVE TRUSTS · EIN 90-0337987 / PN 168 | Common Collective Trust | — | — | $91K | 0.4% | |
| STATE ST TARGET RET 2060 NL CL P STATE STREET GLOBAL ADVISORS · EIN 90-0337987 / PN 489 | Common Collective Trust | — | — | $0 | <0.1% |