| 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) 02/25/2021 | ||||||||||||||||||||||||||
| 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 | 03/01/2021 | M | 1,389 | A | $10.86 | 4,621 | D | |||
| Common Stock | 03/01/2021 | M | 1,125 | A | $11.02 | 5,746 | D | |||
| Common Stock | 03/01/2021 | M | 833 | A | $9.04 | 6,579 | D | |||
| Common Stock | 03/01/2021 | S(1) | 1,530 | D | $68.0843(2) | 5,049 | D | |||
| Common Stock | 03/01/2021 | S(1) | 1,817 | D | $68.8862(3) | 3,232 | D | |||
| 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 | ||||||||
| Stock Option (right to buy) | $65.87 | 02/25/2021 | A | 16,640 | (4) | 02/25/2031 | Common Stock | 16,640 | (5) | 16,640 | D | ||||
| Stock Option (right to buy) | $10.86 | 03/01/2021 | M | 1,389 | (6) | 03/05/2028 | Common Stock | 1,389 | (5) | 13,897 | D | ||||
| Stock Option (right to buy) | $11.02 | 03/01/2021 | M | 1,125 | (6) | 03/04/2029 | Common Stock | 1,125 | (5) | 24,750 | D | ||||
| Stock Option (right to buy) | $9.04 | 03/01/2021 | M | 833 | (6) | 11/01/2029 | Common Stock | 833 | (5) | 25,834 | 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 $67.64 to $68.60 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 $68.64 to $69.19 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. The option was granted on February 25, 2021, and 25% of the total number of shares of common stock subject to the option vests on January 1, 2022, and 1/48th of the total number of shares of common stock subject to the option vests monthly thereafter, subject to the Reporting Person's continued service to the Company on each such vesting date. |
| 5. Not applicable. |
| 6. As of March 1, 2021, and prior to this transaction, the exercised options were fully vested. |
| Remarks: |
| /s/ Susan M. Kanaya, as Attorney-in-Fact | 03/01/2021 | |
| ** 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. | ||
