SEC Form 4 · accession 0001209191-17-001358
ChemoCentryx, Inc. · CCXI
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Thomas J. Schall
Officer — President and CEO · Director
Period of report
Jan 1, 2017
Accepted (ET)
Jan 4, 2017 · 6:13 pm EST
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001340652
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common Stock | Jan 1, 2017 | M | 33,333 | $0.00 | A | 2,173,000 | D | |
| Common StockF2 | Jan 1, 2017 | F | 17,955 | $7.40 | D | 2,155,045 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Restricted Stock UnitsF3,F4 | — | Jan 1, 2017 | M | 33,333 | D | — | — | Common Stock | 33,333 | 66,667 | D |
Explanation of responses
- F1Shares were acquired upon vesting of restricted stock units awarded on March 7, 2016.
- F2Represents shares withheld upon vesting of restricted stock units to satisfy tax withholding obligation.
- F3Each restricted stock unit represents a contingent right to receive one share of CCXI common stock.
- F4The restricted stock units vest in three equal installments on January 1, 2017, January 1, 2018, and January 1, 2019, subject to the Reporting Person's continued employment or service relationship with the Issuer through each such vesting date. Vested shares will be delivered to the Reporting Person within thirty (30) days following the vesting date.