Filing Details
- Accession Number:
- 0001209191-17-001579
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2017-01-04 20:07:41
- Reporting Period:
- 2017-01-01
- Filing Date:
- 2017-01-04
- Accepted Time:
- 2017-01-04 20:07:41
- SEC Url:
- Form 4 Filing
Issuer
| Cik | Name | Symbol | Sector (SIC) | IRS No |
|---|---|---|---|---|
| 1340652 | Chemocentryx Inc. | CCXI | Pharmaceutical Preparations (2834) | 943254365 |
Insiders
| Cik | Name | Reported Address | Insider Title | Director | Officer | Large Shareholder | Other |
|---|---|---|---|---|---|---|---|
| 1422995 | J. Markus Cappel | C/O Chemocentryx, Inc. 850 Maude Avenue Mountain View CA 94043 | Chief Bus. Officer & Treasurer | No | Yes | No | No |
Reported Non-Derivative Transactions
| Sec. Name | Acquisiton - Disposition | Date | Amount | Price | Remaning Holdings | Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|---|---|---|---|---|---|
| Common Stock | Acquisiton | 2017-01-01 | 8,333 | $0.00 | 20,833 | No | 4 | M | Direct | |
| Common Stock | Disposition | 2017-01-01 | 4,442 | $7.40 | 16,391 | No | 4 | F | Direct | |
| Common Stock | Acquisiton | 2017-01-03 | 26,821 | $4.30 | 43,212 | No | 4 | M | Direct | |
| Common Stock | Disposition | 2017-01-03 | 26,821 | $7.51 | 16,391 | No | 4 | S | Direct |
| Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|
| No | 4 | M | Direct | |
| No | 4 | F | Direct | |
| No | 4 | M | Direct | |
| No | 4 | S | Direct |
Reported Derivative Transactions
| Sec. Name | Sec. Type | Acquisiton - Disposition | Date | Amount | Price | Amount - 2 | Price - 2 |
|---|---|---|---|---|---|---|---|
| Common Stock | Restricted Stock Units | Disposition | 2017-01-01 | 8,333 | $0.00 | 8,333 | $0.00 |
| Common Stock | Stock Option (right to buy) | Disposition | 2017-01-03 | 26,821 | $0.00 | 26,821 | $4.30 |
| Remaning Holdings | Exercise Date | Expiration Date | Equity Swap Involved | Transaction Form Type | Transaction Code | Nature of Ownership |
|---|---|---|---|---|---|---|
| 16,667 | No | 4 | M | Direct | ||
| 0 | 2007-02-06 | 2017-02-06 | No | 4 | M | Direct |
Footnotes
- Shares were acquired upon vesting of restricted stock units awarded on March 7, 2016.
- Represents shares withheld upon vesting of restricted stock units to satisfy tax withholding obligation.
- The sales reported in this Form 4 were effected pursuant to a June 2016 Rule 10b5-1 trading plan adopted by the Reporting Person.
- Shares sold are associated with stock options which will expire in February 2017.
- Reflects the weighted average sale price of the shares sold. The shares were sold in multiple trades at prices ranging from $7.50 to $7.59 per share, inclusive. 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.
- Each restricted stock unit represents a contingent right to receive one share of CCXI common stock.
- The restricted stock units vest in three equal installments on January 1, 2017, January 1, 2018, and January 1, 2019, subject to the Reporting Person's continued employment or service relationship with the Issuer through each such vesting date. Vested shares will be delivered to the Reporting Person within thirty (30) days following the vesting date.
- As of January 3, 2017, and prior to this transaction, the option fully vested.
- Not applicable.
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