SEC Form 4
FORM 4 | UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP 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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Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b). |
1. Name and Address of Reporting Person*
(Street)
| 2. Issuer Name and Ticker or Trading Symbol ChemoCentryx, Inc. [ CCXI ] | 5. Relationship of Reporting Person(s) to Issuer (Check all applicable)
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3. Date of Earliest Transaction (Month/Day/Year) 07/09/2020 | ||||||||||||||||||||||||||
4. If Amendment, Date of Original Filed (Month/Day/Year) | 6. Individual or Joint/Group Filing (Check Applicable Line)
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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) | 2. Transaction Date (Month/Day/Year) | 2A. Deemed Execution Date, if any (Month/Day/Year) | 3. Transaction Code (Instr. 8) | 4. Securities Acquired (A) or Disposed Of (D) (Instr. 3, 4 and 5) | 5. Amount of Securities Beneficially Owned Following Reported Transaction(s) (Instr. 3 and 4) | 6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4) | 7. Nature of Indirect Beneficial Ownership (Instr. 4) | |||
Code | V | Amount | (A) or (D) | Price | ||||||
Common Stock, par value $0.001 per share | 07/09/2020 | S(4) | 53,955 | D | $59.2782(5) | 10,269,012 | I | See Footnotes(1)(2)(3) | ||
Common Stock, par value $0.001 per share | 07/09/2020 | S(4) | 36,920 | D | $60.5171(6) | 10,232,092 | I | See Footnotes(1)(2)(3) | ||
Common Stock, par value $0.001 per share | 07/09/2020 | S(4) | 8,925 | D | $61.1174(7) | 10,223,167 | I | See Footnotes(1)(2)(3) | ||
Common Stock, par value $0.001 per share | 07/09/2020 | S(4) | 200 | D | $62.01 | 10,222,967 | I | See Footnotes(1)(2)(3) | ||
Common Stock, par value $0.001 per share | 07/10/2020 | S(4) | 9,223 | D | $59.4983(8) | 10,213,744 | I | See Footnotes(1)(2)(3) | ||
Common Stock, par value $0.001 per share | 07/10/2020 | S(4) | 35,716 | D | $60.0167(9) | 10,178,028 | I | See Footnotes(1)(2)(3) | ||
Common Stock, par value $0.001 per share | 07/10/2020 | S(4) | 905 | D | $60.6217(10) | 10,177,123 | I | See Footnotes(1)(2)(3) | ||
Common Stock, par value $0.001 per share | 07/13/2020 | S(4) | 41,292 | D | $56.7135(11) | 10,135,831 | I | See Footnotes(1)(2)(3) | ||
Common Stock, par value $0.001 per share | 07/13/2020 | S(4) | 11,502 | D | $57.7994(12) | 10,124,329 | I | See Footnotes(1)(2)(3) | ||
Common Stock, par value $0.001 per share | 07/13/2020 | S(4) | 23,366 | D | $58.773(13) | 10,100,963 | I | See Footnotes(1)(2)(3) | ||
Common Stock, par value $0.001 per share | 07/13/2020 | S(4) | 14,261 | D | $59.8715(14) | 10,086,702 | I | See Footnotes(1)(2)(3) | ||
Common Stock, par value $0.001 per share | 07/13/2020 | S(4) | 9,579 | D | $60.6835(15) | 10,077,123 | I | See Footnotes(1)(2)(3) |
Table II - Derivative Securities Acquired, Disposed of, or Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities) | |||||||||||||||
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1. Title of Derivative Security (Instr. 3) | 2. Conversion or Exercise Price of Derivative Security | 3. Transaction Date (Month/Day/Year) | 3A. Deemed Execution Date, if any (Month/Day/Year) | 4. Transaction 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 (Month/Day/Year) | 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: 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 |
1. Name and Address of Reporting Person*
(Street)
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1. Name and Address of Reporting Person*
(Street)
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1. Name and Address of Reporting Person*
(Street)
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Explanation of Responses: |
1. In addition to Vifor (International) Ltd., an entity formed under the laws of Switzerland ("Vifor"), and Vifor Fresenius Medical Care Renal Pharma Ltd., an entity formed under the laws of Switzerland ("VFMCRP"), this Form 4 is being filed by Vifor Pharma Ltd., an entity formed under the laws of Switzerland ("Vifor Pharma" and, together with Vifor and VFMCRP, the "Reporting Persons"). The business addresses for each of the Reporting Persons are listed above. Each of the Reporting Persons may be deemed to have a pecuniary interest in securities reported by it on this Form 4 (the "Subject Securities"). |
2. Beneficial ownership of the common stock referred to herein is being reported solely because (i) Vifor Pharma may be deemed to beneficially own 6,743,790 shares of Common Stock of ChemoCentryx, Inc. as a result of Vifor Pharma's indirect ownership of 100% of the equity interests of Vifor, and (ii) Vifor Pharma may be deemed to beneficially own 3,333,333 shares of Common Stock of ChemoCentryx, Inc. as a result of Vifor Pharma's indirect ownership of 55% of the equity interests of VFMCRP. |
3. Each of the Reporting Persons disclaims any beneficial ownership of any of the Subject Securities, except to the extent of any pecuniary interest therein. |
4. The sales reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by Vifor on June 26, 2020. |
5. The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $58.90 to $59.88, inclusive. Vifor undertakes to provide ChemoCentryx, Inc., any security holder of ChemoCentryx, Inc., or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the ranges set forth in footnotes (5), (6), (7), (8), (9), (10), (11), (12), (13), (14) and (15) to this Form 4. |
6. The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $59.90 to $60.89, inclusive. |
7. The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $60.90 to $61.75, inclusive. |
8. The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $58.60 to $59.59, inclusive. |
9. The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $59.60 to $60.59, inclusive. |
10. The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $60.60 to $60.77, inclusive. |
11. The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $56.32 to $57.28, inclusive. |
12. The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $57.33 to $58.31, inclusive. |
13. The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $58.33 to $59.32, inclusive. |
14. The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $59.33 to $60.27, inclusive. |
15. The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $60.34 to $61.21, inclusive. |
Remarks: |
VIFOR (INTERNATIONAL) LTD, By: /s/ Oliver Kronenberg, Title: Group General Counsel, /s/ Markus Frenzen, Title: Group Treasurer | 07/13/2020 | |
VIFOR PHARMA LTD, By: /s/ Oliver Kronenberg, Title: Group General Counsel, /s/ Markus Frenzen, Title: Group Treasurer | 07/13/2020 | |
VIFOR FRESENIUS MEDICAL CARE RENAL PHARMA LTD, By: /s/ Oliver Kronenberg, Title: Group General Counsel, /s/ Markus Frenzen, Title: Group Treasurer | 07/13/2020 | |
** Signature of Reporting Person | Date | |
Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. | ||
* If the form is filed by more than one reporting person, see Instruction 4 (b)(v). | ||
** Intentional misstatements or omissions of facts constitute Federal Criminal Violations See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a). | ||
Note: File three copies of this Form, one of which must be manually signed. If space is insufficient, see Instruction 6 for procedure. | ||
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 Number. |