Statement of Changes in Beneficial Ownership (4)
March 18 2020 - 6:18PM
Edgar (US Regulatory)
FORM 4
[ ]
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
*
SOFTBANK VISION FUND (AIV M2) L.P. |
2. Issuer Name and Ticker or Trading Symbol
10x Genomics, Inc.
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TXG
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5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
_____ Director __X__ 10% Owner _____ Officer (give title below) _____ Other (specify below)
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(Last)
(First)
(Middle)
251 LITTLE FALLS DRIVE |
3. Date of Earliest Transaction
(MM/DD/YYYY)
9/16/2019 |
(Street)
WILMINGTON, DE 19808
(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)
___ Form filed by One Reporting Person
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X
_ 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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Class A Common Stock | 2/19/2020 | | C | | 3836232 | A | $0.00 (1) | 3836232 | I | See footnote (3) |
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 |
Class B Common Stock | (1) | 9/16/2019 | | C | | 3836232 | | (1) | (1) | Class A Common Stock | 3836232 | $0.00 | 3836232 | I | See footnote (3) |
Series C Convertible Preferred Stock | (2) | 9/16/2019 | | C | | | 2791300 | (2) | (2) | Class B Common Stock (1) | 2791300 | $0.00 | 0 | I | See footnote (3) |
Series D Convertible Preferred Stock | (2) | 9/16/2019 | | C | | | 1044932 | (2) | (2) | Class B Common Stock (1) | 1044932 | $0.00 | 0 | I | See footnote (3) |
Class B Common Stock | (1) | 2/19/2020 | | C | | | 3836232 | (1) | (1) | Class A Common Stock | 3836232 | $0.00 | 0 | I | See footnote (3) |
Explanation of Responses: |
(1) | The Class B Common Stock is convertible at any time at the option of the holder into Class A Common Stock on a 1:1 basis and has no expiration date. Additionally, all outstanding shares of Class B Common Stock will convert automatically into Class A Common Stock upon any transfer, whether or not for value (subject to certain exceptions), and upon the occurrence of certain other events set forth in the Issuer's Amended and Restated Certificate of Incorporation. |
(2) | The Series C Convertible Preferred Stock and the Series D Convertible Preferred Stock (the "Convertible Preferred Stock") automatically converted into Class B Common Stock on a 1:1 basis immediately prior to the completion of the Issuer's initial public offering of Class A Common Stock. There is no expiration date for the Convertible Preferred Stock. |
(3) | Represents securities held directly by SoftBank Vision Fund (AIV M2) L.P. ("SVF"). SB Investment Advisers (UK) Limited ("SBIA UK") has been appointed as alternative investment fund manager ("AIFM") and is exclusively responsible for managing SVF in accordance with the Alternative Investment Fund Managers Directive and is authorized and regulated by the UK Financial Conduct Authority accordingly. As AIFM of SVF, SBIA UK is exclusively responsible for portfolio management and risk management. SBIA UK disclaims beneficial ownership of such shares except to the extent of its pecuniary interest therein, and the inclusion of these securities in this report shall not be deemed an admission that any reporting person is the beneficial owner of such shares for purposes of the Securities Exchange Act of 1934 or for any other purpose. |
Reporting Owners
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Reporting Owner Name / Address | Relationships |
Director | 10% Owner | Officer | Other |
SOFTBANK VISION FUND (AIV M2) L.P. 251 LITTLE FALLS DRIVE WILMINGTON, DE 19808 |
| X |
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SB INVESTMENT ADVISERS (UK) LTD 69 GROSVENOR STREET LONDON, X0 W1K 3JW |
| X |
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Signatures
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/s/ Brian Wheeler, General Counsel of SB Investment Advisers (UK) Limited, manager of SoftBank Vision Fund (AIV M2) L.P. | | 3/18/2020 |
**Signature of Reporting Person | Date |
/s/ Brian Wheeler, General Counsel of SB Investment Advisers (UK) Limited | | 3/18/2020 |
**Signature of Reporting Person | Date |
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