Statement of Changes in Beneficial Ownership (4)
25 May 2021 - 9:55AM
Edgar (US Regulatory)
FORM 4
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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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3235-0287
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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
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Jain Rita |
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)
__X__ Director _____ 10% Owner _____ Officer (give title below) _____ Other (specify below)
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(Last)
(First)
(Middle)
C/O CHEMOCENTRYX, INC., 835 INDUSTRIAL ROAD, SUITE 600 |
3. Date of Earliest Transaction
(MM/DD/YYYY)
5/20/2021 |
(Street)
SAN CARLOS, CA 94070
(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 | 5/21/2021 | | M(1) | | 4660 | A | $0.00 | 22886 | 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 |
Restricted Stock Units | (2) | 5/20/2021 | | A | | 7726 | | (3) | (3) | Common Stock | 7726 | (2) | 7726 | D | |
Stock Option (right to buy) | $10.06 | 5/20/2021 | | A | | 4504 | | 5/20/2022 (4) | 5/20/2031 | Common Stock | 4504 | (5) | 4504 | D | |
Restricted Stock Units | (2) | 5/21/2021 | | M | | | 4660 | (6) | (6) | Common Stock | 4660 | (2) | 0 | D | |
Explanation of Responses: |
(1) | Shares were acquired upon vesting of restricted stock units awarded on May 21, 2020. |
(2) | Each restricted stock unit represents a contingent right to receive one share of CCXI common stock. |
(3) | The restricted stock units awarded on May 20, 2021, vests on the first anniversary of the grant date, subject to the Reporting Person's continued service to the Company on such date. Shares will be delivered to the Reporting Person within thirty (30) days following vest date. |
(4) | The option granted on May 20, 2021, vests on the first anniversary of the grant date, subject to the Reporting Person's continued service to the Company on such date. |
(5) | Not applicable. |
(6) | 100% of the restricted stock units vested on May 21, 2021. Vested shares will be delivered to the Reporting Person within thirty (30) days following vest date. |
Reporting Owners
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Reporting Owner Name / Address | Relationships |
Director | 10% Owner | Officer | Other |
Jain Rita C/O CHEMOCENTRYX, INC. 835 INDUSTRIAL ROAD, SUITE 600 SAN CARLOS, CA 94070 | X |
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Signatures
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/s/ Susan M. Kanaya, as Attorney-in-Fact | | 5/24/2021 |
**Signature of Reporting Person | Date |
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