SEC Form 4 · accession 0001209191-19-003166
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 7, 2019
Accepted (ET)
Jan 9, 2019 · 7:56 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 7, 2019 | M | 5,069 | $6.00 | A | 40,510 | D | |
| Common StockF2,F3 | Jan 7, 2019 | S | 5,069 | $12.0658 | D | 35,441 | D | |
| Common Stock | Jan 9, 2019 | M | 8,134 | $6.00 | A | 43,575 | D | |
| Common StockF2,F4 | Jan 9, 2019 | S | 8,134 | $12.0025 | D | 35,441 | 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 | Jan 7, 2019 | M | 5,069 | D | Jul 28, 2009 | Jul 28, 2019 | Common Stock | 5,069 | 14,306 | D |
| Stock Option (right to buy)F6,F5 | $6.00 | Jan 9, 2019 | M | 8,134 | D | Jul 28, 2009 | Jul 28, 2019 | Common Stock | 8,134 | 6,172 | 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 shares sold. The shares were sold in multiple trades at prices ranging from $12.00 to $12.26 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 $12.02 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.
- F5As of January 7, 2019, and prior to this transaction, the exercised options were fully vested.
- F6Not applicable.