Statement of Changes in Beneficial Ownership (4)
December 29 2016 - 4:04PM
Edgar (US Regulatory)
FORM 4
[ ]
Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue.
See
Instruction 1(b).
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UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OF SECURITIES
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OMB APPROVAL
OMB Number:
3235-0287
Estimated average burden
hours per response...
0.5
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Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934 or Section 30(h) of the Investment Company Act of 1940
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1. Name and Address of Reporting Person
*
MARIO ERNEST
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2. Issuer Name
and
Ticker or Trading Symbol
CHIMERIX INC
[
CMRX
]
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5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
__
X
__ Director
_____ 10% Owner
_____ Officer (give title below)
_____ Other (specify below)
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(Last)
(First)
(Middle)
C/O CHIMERIX, INC., 2505 MERIDIAN PARKWAY, SUITE 100
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3. Date of Earliest Transaction
(MM/DD/YYYY)
12/27/2016
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(Street)
DURHAM, NC 27713
(City)
(State)
(Zip)
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4. If Amendment, Date Original Filed
(MM/DD/YYYY)
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6. Individual or Joint/Group Filing
(Check Applicable Line)
_
X
_ Form filed by One Reporting Person
___ Form filed by More than One Reporting Person
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Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
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1.Title of Security
(Instr. 3)
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2. Trans. Date
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2A. Deemed Execution Date, if any
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3. Trans. Code
(Instr. 8)
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4. Securities Acquired (A) or Disposed of (D)
(Instr. 3, 4 and 5)
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5. Amount of Securities Beneficially Owned Following Reported Transaction(s)
(Instr. 3 and 4)
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6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4)
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7. Nature of Indirect Beneficial Ownership (Instr. 4)
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Code
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V
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Amount
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(A) or (D)
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Price
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Common Stock
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12/27/2016
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S
(1)
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72073
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D
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$4.6778
(2)
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296462
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I
(3)
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By The Ernest and Mildred Mario Revocable Trust, Ernest and Mildred Mario, Trustees
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Common Stock
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12/27/2016
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S
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3636
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D
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$4.65
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292826
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I
(4)
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By The Ernest and Mildred Mario Revocable Trust, Ernest and Mildred Mario, Trustees
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Common Stock
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12/28/2016
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S
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4000
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D
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$4.6707
(5)
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288826
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I
(6)
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By The Ernest and Mildred Mario Revocable Trust, Ernest and Mildred Mario, Trustees
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Common Stock
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12/28/2016
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S
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20291
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D
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$4.516
(7)
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268535
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I
(8)
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By The Ernest and Mildred Mario Revocable Trust, Ernest and Mildred Mario, Trustees
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Common Stock
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12905
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D
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Table II - Derivative Securities Beneficially Owned (
e.g.
, puts, calls, warrants, options, convertible securities)
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1. Title of Derivate Security
(Instr. 3)
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2. Conversion or Exercise Price of Derivative Security
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3. Trans. Date
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3A. Deemed Execution Date, if any
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4. Trans. Code
(Instr. 8)
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5. Number of Derivative Securities Acquired (A) or Disposed of (D)
(Instr. 3, 4 and 5)
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6. Date Exercisable and Expiration Date
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7. Title and Amount of Securities Underlying Derivative Security
(Instr. 3 and 4)
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8. Price of Derivative Security
(Instr. 5)
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9. Number of derivative Securities Beneficially Owned Following Reported Transaction(s) (Instr. 4)
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10. Ownership Form of Derivative Security: Direct (D) or Indirect (I) (Instr. 4)
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11. Nature of Indirect Beneficial Ownership (Instr. 4)
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Code
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V
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(A)
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(D)
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Date Exercisable
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Expiration Date
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Title
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Amount or Number of Shares
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Explanation of Responses:
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(
1)
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The sales reported in this Form 4 were effected pursuant to a Rule10b5-1 trading plan adopted by the reporting person on September 15, 2014.
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(
2)
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The range of sale prices received is $4.65 to $4.75. Upon request by the SEC staff, the Issuer, or any security holder of the Issuer, full information will be provided regarding the number of shares purchased or sold at each separate price.
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(
3)
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72,073 shares held by Reporting Person were inadvertently reported on the prior Form 4 as held directly. Instead an aggregate of 72,073 shares previously reported on Form 4 were held by the Reporting Person indirectly in the name of his trust.
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(
4)
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3,636 shares held by Reporting Person were inadvertently reported on the prior Form 4 as held directly. Instead an aggregate of 3,636 shares previously reported on Form 4 were held by the Reporting Person indirectly in the name of his trust.
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(
5)
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The range of sale prices received is $4.67 to $4.675. Upon request by the SEC staff, the Issuer, or any security holder of the Issuer, full information will be provided regarding the number of shares purchased or sold at each separate price.
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(
6)
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4,000 shares held by Reporting Person were inadvertently reported on the prior Form 4 as held directly. Instead an aggregate of 4,000 shares previously reported on Form 4 were held by the Reporting Person indirectly in the name of his trust.
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(
7)
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The range of sale prices received is $4.51 to $4.5201. Upon request by the SEC staff, the Issuer, or any security holder of the Issuer, full information will be provided regarding the number of shares purchased or sold at each separate price.
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(
8)
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20,291 shares held by Reporting Person were inadvertently reported on the prior Form 4 as held directly. Instead an aggregate of 20,291 shares previously reported on Form 4 were held by the Reporting Person indirectly in the name of his trust.
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Reporting Owners
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Reporting Owner Name / Address
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Relationships
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Director
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10% Owner
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Officer
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Other
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MARIO ERNEST
C/O CHIMERIX, INC.
2505 MERIDIAN PARKWAY, SUITE 100
DURHAM, NC 27713
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X
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Signatures
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/s/ Michael Alrutz, Attorney-in-Fact
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12/29/2016
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**
Signature of Reporting Person
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Date
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Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly.
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*
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If the form is filed by more than one reporting person,
see
Instruction 4(b)(v).
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**
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Intentional misstatements or omissions of facts constitute Federal Criminal Violations.
See
18 U.S.C. 1001 and 15 U.S.C. 78ff(a).
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Note:
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File three copies of this Form, one of which must be manually signed. If space is insufficient,
see
Instruction 6 for procedure.
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Persons who respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB control number.
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