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UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OF SECURITIES Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934, Section 17(a) of the Public Utility Holding Company Act of 1935 or Section 30(h) of the Investment Company Act of 1940 |
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Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. | |||
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 control number. | SEC 1474 (9-02) |
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 Underlying Securities (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) |
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Code | V | (A) | (D) | Date Exercisable | Expiration Date | Title | Amount or Number of Shares | ||||||||
Restricted Stock Units | (4) | 05/21/2015 | A | 11,795 | (5) | (5) | Common Stock | 11,795 | $ 0 | 11,795 | D | ||||
Restricted Stock Units | (4) | 05/22/2015 | M | 27,027 | (6) | (6) | Common Shares | 27,027 | $ 0 | 0 | D |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
KLEIN IRA C/O CHEMOCENTRYX, INC. 850 MAUDE AVE. MOUNTAIN VIEW, CA 94043 |
X |
/s/ Susan M. Kanaya, as Attorney-in-Fact | 05/26/2015 | |
**Signature of Reporting Person | Date |
* | 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). |
(1) | Shares were acquired upon vesting of restricted stock units awarded on May 22, 2014. |
(2) | The sales reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the Reporting Person to cover estimated taxes due upon vesting of restricted stock units. |
(3) | Reflects the weighted average sale price of the shares sold. The shares were sold in multiple trades at prices ranging from $7.3024 to $7.62 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. |
(4) | Each restricted stock unit represents a contingent right to receive one share of CCXI common stock. |
(5) | 100% of the restricted stock units will vest on May 21, 2016, subject to the Reporting Person's continued service to the Company on such date. Vested shares will be delivered to the Reporting Person within thirty (30) days following the vesting date. |
(6) | 100% of the restricted stock units vested on May 22, 2015. Vested shares will be delivered to the Reporting Person within thirty (30) days following the vesting date. |