SEC Form 4 · accession 0001209191-18-027937
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
May 1, 2018
Accepted (ET)
May 3, 2018 · 8:38 pm EDT
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 | May 1, 2018 | M | 17,127 | $6.00 | A | 2,202,121 | D | |
| Common StockF2,F3 | May 1, 2018 | S | 17,127 | $11.0006 | D | 2,184,994 | D | |
| Common Stock | May 2, 2018 | M | 32,873 | $6.00 | A | 2,217,867 | D | |
| Common StockF2,F4 | May 2, 2018 | S | 32,873 | $11.0258 | D | 2,184,994 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Stock Option (right to buy)F6,F5 | $6.00 | May 1, 2018 | M | 17,127 | D | Sep 10, 2008 | Sep 10, 2018 | Common Stock | 17,127 | 232,873 | D |
| Stock Option (right to buy)F6,F5 | $6.00 | May 2, 2018 | M | 32,873 | D | Sep 10, 2008 | Sep 10, 2018 | Common Stock | 32,873 | 200,000 | D |
Explanation of responses
- F1Shares sold are associated with stock options that will expire in September 2018.
- F2The sales reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the Reporting Person.
- F3Reflects the weighted average sale price of the shares purchased. The shares were purchased in multiple trades at prices ranging from $11.00 to $11.03 per share. The Reporting Person will provide to the SEC staff, the issuer or a security holder of the issuer, upon request, full information regarding the number of shares purchased at each separate price.
- F4Reflects the weighted average sale price of the shares purchased. The shares were purchased in multiple trades at prices ranging from $11.00 to $11.20 per share. The Reporting Person will provide to the SEC staff, the issuer or a security holder of the issuer, upon request, full information regarding the number of shares purchased at each separate price.
- F5As of May 1, 2018, and prior to this transaction, the exercised options were fully vested.
- F6Not applicable.