SEC Form 4 · accession 0001209191-18-039958
ChemoCentryx, Inc. · CCXI
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Susan M Kanaya
Officer — EVP, CFO and Sec.
Period of report
Jun 26, 2018
Accepted (ET)
Jun 28, 2018 · 7:10 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 | Jun 26, 2018 | M | 850 | $6.00 | A | 38,985 | D | |
| Common StockF2 | Jun 26, 2018 | S | 850 | $13.25 | D | 38,135 | D | |
| Common Stock | Jun 27, 2018 | M | 49,150 | $6.00 | A | 87,285 | D | |
| Common StockF2 | Jun 27, 2018 | S | 49,150 | $13.25 | D | 38,135 | D | |
| Common Stock | Jun 28, 2018 | M | 42,500 | $6.00 | A | 80,635 | D | |
| Common StockF2 | Jun 28, 2018 | S | 42,500 | $13.75 | D | 38,135 | D | |
| Common Stock | Jun 28, 2018 | M | 7,007 | $3.57 | A | 45,142 | D | |
| Common StockF2,F3 | Jun 28, 2018 | S | 7,007 | $14.0033 | D | 38,135 | 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)F5,F4 | $6.00 | Jun 26, 2018 | M | 850 | D | Jul 28, 2009 | Jul 28, 2019 | Common Stock | 850 | 91,650 | D |
| Stock Option (right to buy)F5,F4 | $6.00 | Jun 27, 2018 | M | 49,150 | D | Jul 28, 2009 | Jul 28, 2019 | Common Stock | 49,150 | 42,500 | D |
| Stock Option (right to buy)F5,F4 | $6.00 | Jun 28, 2018 | M | 42,500 | D | Jul 28, 2009 | Jul 28, 2019 | Common Stock | 42,500 | 0 | D |
| Stock Option (right to buy)F5,F6 | $3.57 | Jun 28, 2018 | M | 7,007 | D | — | Mar 7, 2026 | Common Stock | 7,007 | 182,993 | D |
Explanation of responses
- F1Shares sold are associated with stock options that will expire in July 2019.
- 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 sales sold. The shares were sold in multiple trades at prices ranging from $14.00 to $14.01 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.
- F4As of June 26, 2018, and prior to this transaction, the exercised options were fully vested.
- F5Not applicable.
- F6As of June 28, 2018, the exercised options were fully vested.