Statement of Changes in Beneficial Ownership (4)
January 15 2020 - 6:30PM
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).
UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OF SECURITIES
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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
*
Cappel Markus J. |
2. Issuer Name and Ticker or Trading Symbol
ChemoCentryx, Inc.
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CCXI
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5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
_____ Director _____ 10% Owner __X__ Officer (give title below) _____ Other (specify below) Chief Bus. Officer & Treasurer |
(Last)
(First)
(Middle)
C/O CHEMOCENTRYX, INC., 850 MAUDE AVENUE |
3. Date of Earliest Transaction
(MM/DD/YYYY)
1/13/2020 |
(Street)
MOUNTAIN VIEW, CA 94043
(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 | 1/13/2020 | | M | | 86311 | A | $7.10 | 162558 | D | |
Common Stock | 1/13/2020 | | S(1) | | 43556 | D | $36.7104 (2) | 119002 | D | |
Common Stock | 1/13/2020 | | S(1) | | 42755 | D | $37.4829 (3) | 76247 | D | |
Common Stock | 1/14/2020 | | M | | 30145 | A | $7.10 | 106392 | D | |
Common Stock | 1/14/2020 | | S(1) | | 30145 | D | $37.781 (4) | 76247 | D | |
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) | 2. Conversion or Exercise Price of Derivative Security | 3. Trans. Date | 3A. Deemed Execution Date, if any | 4. Trans. Code (Instr. 8) | 5. Number of Derivative Securities Acquired (A) or Disposed of (D) (Instr. 3, 4 and 5) | 6. Date Exercisable and Expiration Date | 7. Title and Amount of Securities Underlying Derivative Security (Instr. 3 and 4) | 8. Price of Derivative Security (Instr. 5) | 9. Number of derivative Securities Beneficially Owned Following Reported Transaction(s) (Instr. 4) | 10. Ownership Form of Derivative Security: Direct (D) or Indirect (I) (Instr. 4) | 11. Nature of Indirect Beneficial Ownership (Instr. 4) |
Code | V | (A) | (D) | Date Exercisable | Expiration Date | Title | Amount or Number of Shares |
Stock Option (right to buy) | $7.10 | 1/13/2020 | | M | | | 86311 | (5) | 2/19/2024 | Common Stock | 86311 | (6) | 80145 | D | |
Stock Option (right to buy) | $7.10 | 1/14/2020 | | M | | | 30145 | (5) | 2/19/2024 | Common Stock | 30145 | (6) | 50000 | D | |
Explanation of Responses: |
(1) | The sales reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the Reporting Person. |
(2) | Reflects the weighted average sale price of the shares sold. The shares were sold in multiple trades at prices ranging from $36.22 to $37.21 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. |
(3) | Reflects the weighted average sale price of the shares sold. The shares were sold in multiple trades at prices ranging from $37.22 to $38.00 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. |
(4) | Reflects the weighted average sale price of the shares sold. The shares were sold in multiple trades at prices ranging from $37.50 to $38.175 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. |
(5) | As of January 13, 2020, and prior to this transaction, the exercised options were fully vested. |
(6) | Not applicable. |
Reporting Owners
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Reporting Owner Name / Address | Relationships |
Director | 10% Owner | Officer | Other |
Cappel Markus J. C/O CHEMOCENTRYX, INC. 850 MAUDE AVENUE MOUNTAIN VIEW, CA 94043 |
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| Chief Bus. Officer & Treasurer |
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Signatures
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/s/ Susan M. Kanaya, as Attorney-in-Fact | | 1/15/2020 |
**Signature of Reporting Person | Date |
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