SEC Form 4 · accession 0001209191-19-003643
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
Jan 10, 2019
Accepted (ET)
Jan 14, 2019 · 7:44 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 10, 2019 | M | 36,762 | $6.00 | A | 2,265,617 | D | |
| Common StockF2,F3 | Jan 10, 2019 | S | 36,762 | $12.1618 | D | 2,228,855 | 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 | Jan 10, 2019 | M | 36,762 | D | Jul 29, 2009 | Jul 29, 2019 | Common Stock | 36,762 | 160,000 | 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 $12.43 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 January 10, 2019, and prior to this transaction, the exercised options were fully vested.
- F5Not applicable.