Statement of Changes in Beneficial Ownership (4)
September 18 2020 - 4:32PM
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
*
Venrock Associates VI, L.P. |
2. Issuer Name and Ticker or Trading Symbol
10x Genomics, Inc.
[
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)
C/O VENROCK, 3340 HILLVIEW AVENUE |
3. Date of Earliest Transaction
(MM/DD/YYYY)
9/16/2020 |
(Street)
PALO ALTO, CA 94304
(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 | 9/16/2020 | | J(1) | | 911981 (1) | D | $0.00 | 375844 | I | By Funds (2) |
Class A Common Stock | 9/18/2020 | | J(3) | | 338019 (3) | D | $0.00 | 37825 | I | By Funds (4) |
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 |
Explanation of Responses: |
(1) | On September 16, 2020, Venrock Associates VI, L.P. ("VA VI") and Venrock Partners VI, L.P. ("VP VI") distributed an aggregate of 1,250,000 shares of Class A Common Stock to their limited partners and general partners pursuant to a Trading and Distribution Plan adopted on September 11, 2020 (the "Plan"). Pursuant to the terms of the Plan, of the 1,250,000 shares distributed, 313,898 shares were distributed by VA VI to its general partner, Venrock Management VI, LLC ("VM VI") and 24,121 shares were distributed by VP VI to its general partner, Venrock Partners Management VI, LLC ("VPM VI"). |
(2) | Consists of 35,085 shares of Class A Common Stock held by VA VI, 2,740 shares of Class A Common Stock held by VP VI, 313,898 shares of Class A Common Stock held by VM VI and 24,121 shares of Class A Common Stock held by VPM VI. |
(3) | On September 18, 2020, VM VI and VPM VI distributed an aggregate of 338,019 shares of Class A Common Stock to their members and participants pursuant to the Plan. |
(4) | Consists of 35,085 shares of Class A Common Stock held by VA VI and 2,740 shares of Class A Common Stock held by VP VI. |
Reporting Owners
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Reporting Owner Name / Address | Relationships |
Director | 10% Owner | Officer | Other |
Venrock Associates VI, L.P. C/O VENROCK 3340 HILLVIEW AVENUE PALO ALTO, CA 94304 |
| X |
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Venrock Partners VI, L.P. C/O VENROCK, 3340 HILLVIEW AVENUE PALO ALTO, CA 94304 |
| X |
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Venrock Management VI, LLC C/O VENROCK, 3340 HILLVIEW AVENUE PALO ALTO, CA 94304 |
| X |
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Venrock Partners Management VI, LLC C/O VENROCK, 3340 HILLVIEW AVENUE PALO ALTO, CA 94304 |
| X |
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Signatures
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/s/ David L. Stepp, Authorized Signatory | | 9/18/2020 |
**Signature of Reporting Person | Date |
David L. Stepp, Authorized Signatory | | 9/18/2020 |
**Signature of Reporting Person | Date |
David L. Stepp, Authorized Signatory | | 9/18/2020 |
**Signature of Reporting Person | Date |
David L. Stepp, Authorized Signatory | | 9/18/2020 |
**Signature of Reporting Person | Date |
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