SEC Form 4 · accession 0001209191-18-001502
ChemoCentryx, Inc. · CCXI
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Markus J. Cappel
Officer — Chief Bus. Officer & Treasurer
Period of report
Jan 1, 2018
Accepted (ET)
Jan 3, 2018 · 7:31 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, 2018 | M | 8,333 | $0.00 | A | 24,724 | D | |
| Common Stock | Jan 1, 2018 | M | 10,000 | $0.00 | A | 34,724 | D | |
| Common StockF3 | Jan 1, 2018 | F | 10,898 | $5.95 | D | 23,826 | 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 UnitsF4,F5 | — | Jan 1, 2018 | M | 8,333 | D | — | — | Common Stock | 8,333 | 8,334 | D |
| Restricted Stock UnitsF4,F6 | — | Jan 1, 2018 | M | 10,000 | D | — | — | Common Stock | 10,000 | 20,000 | D |
Explanation of responses
- F1Shares were acquired upon vesting of restricted stock units awarded on March 7, 2016.
- F2Shares were acquired upon vesting of restricted stock units awarded on February 28, 2017.
- F3Represents shares withheld upon vesting of restricted stock units to satisfy tax withholding obligation.
- F4Each restricted stock unit represents a contingent right to receive one share of CCXI common stock.
- F5The restricted stock units awarded on March 7, 2016, vest in three equal installments on January 1, 2017, January 1, 2018, and January 1, 2019, subject to the Reporting Person's continued service to the Company on such date. Shares will be delivered to the Reporting Person within thirty (30) days following the vesting date.
- F6The restricted stock units awarded on February 28, 2017, vest in three equal installments on January 1, 2018, January 1, 2019, and January 1, 2020, subject to the Reporting Person's continued service to the Company on such date. Shares will be delivered to the Reporting Person within thirty (30) days following the vesting date.