SEC Form 4 · accession 0001209191-18-032804
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 21, 2018
Accepted (ET)
May 23, 2018 · 9:53 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 21, 2018 | M | 33,938 | $6.00 | A | 2,218,932 | D | |
| Common StockF2,F3 | May 21, 2018 | S | 16,140 | $13.004 | D | 2,202,792 | D | |
| Common StockF2,F4 | May 21, 2018 | S | 17,798 | $12.1439 | D | 2,184,994 | D | |
| Common Stock | May 22, 2018 | M | 30,932 | $6.00 | A | 2,215,926 | D | |
| Common StockF2,F5 | May 22, 2018 | S | 30,932 | $13.0011 | D | 2,184,994 | D | |
| Common Stock | May 23, 2018 | M | 27,928 | $6.00 | A | 2,212,922 | D | |
| Common StockF6 | May 23, 2018 | S | 27,928 | $13.0082 | 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)F8,F7 | $6.00 | May 21, 2018 | M | 16,140 | D | Jul 29, 2009 | Jul 29, 2019 | Common Stock | 16,140 | 293,860 | D |
| Stock Option (Right to buy)F8,F7 | $6.00 | May 21, 2018 | M | 17,798 | D | Sep 10, 2009 | Sep 10, 2019 | Common Stock | 17,798 | 182,202 | D |
| Stock Option (Right to buy)F8,F9 | $6.00 | May 22, 2018 | M | 30,932 | D | Jul 29, 2009 | Jul 29, 2019 | Common Stock | 30,932 | 262,928 | D |
| Stock Option (Right to Buy)F8,F10 | $6.00 | May 23, 2018 | M | 27,928 | D | Jul 29, 2009 | Jul 29, 2019 | Common Stock | 27,928 | 235,000 | D |
Explanation of responses
- F1Shares sold are associated with stock options that will expire in 2019.
- F10As of May 23, 2018, and prior to this transaction, the exercised options were fully vested.
- 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 sold. The shares were sold in multiple trades at prices ranging from $13.01 to $13.02 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 sold at each separate price.
- F4Reflects the weighted average sale price of the shares sold. The shares were sold in multiple trades at prices ranging from $12.00 to $12.65 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 sold at each separate price.
- F5Reflects the weighted average sale price of the shares sold. The shares were sold in multiple trades at prices ranging from $13.00 to $13.01 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 sold at each separate price.
- F6Reflects the weighted average sale price of the shares sold. The shares were sold in multiple trades at prices ranging from $13.00 to $13.09 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 sold at each separate price.
- F7As of May 21, 2018, and prior to this transaction, the exercised options were fully vested.
- F8Not applicable.
- F9As of May 22, 2018, and prior to this transaction, the exercised options were fully vested.