UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549INITIAL STATEMENT OF 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. | SEC 1473 (7-02) | ||
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. |
1. Title of Derivative Security (Instr. 4) |
2. Date Exercisable and Expiration Date (Month/Day/Year) |
3. Title and Amount of Securities Underlying Derivative Security (Instr. 4) |
4. Conversion or Exercise Price of Derivative Security | 5. Ownership Form of Derivative Security: Direct (D) or Indirect (I) (Instr. 5) |
6. Nature of Indirect Beneficial Ownership (Instr. 5) |
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Date Exercisable | Expiration Date | Title | Amount or Number of Shares |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
Vifor (International) Ltd RECHENSTRASSE 37 CH-9014 ST. GALLEN, V8 |
 |  X |  |  |
Vifor Pharma Ltd. RECHENSTRASSE 37 CH-9014 ST. GALLEN, V8 |
 |  X |  |  |
Vifor Fresenius Medical Care Renal Pharma Ltd. RECHENSTRASSE 37 CH-9014 ST. GALLEN, V8 |
 |  X |  |  |
VIFOR (INTERNATIONAL) LTD., /s/ Oliver Kronenberg, Title: Group General Counsel | 11/02/2018 | |
**Signature of Reporting Person | Date | |
VIFOR PHARMA LTD, /s/ Oliver Kronenberg, Title: Group General Counsel | 11/02/2018 | |
**Signature of Reporting Person | Date | |
VIFOR FRESENIUS MEDICAL CARE RENAL PHARMA LTD., /s/ Oliver Kronenberg Title: Group General Counsel | 11/02/2018 | |
**Signature of Reporting Person | Date |
* | If the form is filed by more than one reporting person, see Instruction 5(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) | 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 3 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 3 (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 7,343,492 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. |