Statement of Changes in Beneficial Ownership (4)
October 05 2020 - 4:05PM
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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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
*
Saxonov Serge |
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)
__X__ Director __X__ 10% Owner __X__ Officer (give title below) _____ Other (specify below) Chief Executive Officer |
(Last)
(First)
(Middle)
C/O 10X GENOMICS, INC., 6230 STONERIDGE MALL ROAD |
3. Date of Earliest Transaction
(MM/DD/YYYY)
10/1/2020 |
(Street)
PLEASANTON, CA 94588
(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)
_X
_ Form filed by One Reporting Person
___ 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 | 10/1/2020 | | M(1) | | 6250 | A | $1.20 | 973431 | D | |
Class A Common Stock | 10/1/2020 | | M(1) | | 3750 | A | $5.04 | 977181 | D | |
Class A Common Stock | 10/1/2020 | | S(2) | | 1600 | D | $124.345 (3) | 975581 | D | |
Class A Common Stock | 10/1/2020 | | S(2) | | 6150 | D | $125.5439 (4) | 969431 | D | |
Class A Common Stock | 10/1/2020 | | S(2) | | 2250 | D | $126.0774 (5) | 967181 | D | |
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 |
Stock Option (right to buy) | $1.20 | 10/1/2020 | | M (1) | | | 6250 | (6) | 10/18/2027 | Class A Common Stock | 6250 | $0.00 | 122360 | D | |
Stock Option (right to buy) | $5.04 | 10/1/2020 | | M (1) | | | 3750 | (7) | 11/2/2028 | Class A Common Stock | 3750 | $0.00 | 132015 | D | |
Explanation of Responses: |
(1) | This option exercise was effected pursuant to a Rule 10b5-1 trading plan entered into by the Reporting Person. |
(2) | This sale was effected pursuant to a Rule 10b5-1 trading plan entered into by the Reporting Person. |
(3) | This transaction was executed in multiple trades at prices ranging from $123.86 to $124.85. The price reported above reflects the weighted average sale price. The Reporting Person undertakes to provide upon request by the staff of the Securities and Exchange Commission, the Issuer, or a security holder of the Issuer, full information regarding the number of shares sold at each separate sale price. |
(4) | This transaction was executed in multiple trades at prices ranging from $124.91 to $125.87. The price reported above reflects the weighted average sale price. The Reporting Person undertakes to provide upon request by the staff of the Securities and Exchange Commission, the Issuer, or a security holder of the Issuer, full information regarding the number of shares sold at each separate sale price. |
(5) | This transaction was executed in multiple trades at prices ranging from $125.91 to $126.88. The price reported above reflects the weighted average sale price. The Reporting Person undertakes to provide upon request by the staff of the Securities and Exchange Commission, the Issuer, or a security holder of the Issuer, full information regarding the number of shares sold at each separate sale price. |
(6) | This option, originally for 300,000 shares, of which 177,640 have been exercised, vested as to one-forty-eighth of the shares on October 1, 2017, and one forty-eighth of the shares subject to the option vest each month thereafter, subject to the Reporting Person continuing as a service provider through each such date. |
(7) | This option, originally for 250,000 shares, of which 117,985 have been exercised, vested as to one forty-eighth of the shares on October 1, 2018, and one-forty-eighth of the shares subject to the option vest each month thereafter, subject to the Reporting Person continuing as a service provider through each such date. |
Reporting Owners
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Reporting Owner Name / Address | Relationships |
Director | 10% Owner | Officer | Other |
Saxonov Serge C/O 10X GENOMICS, INC. 6230 STONERIDGE MALL ROAD PLEASANTON, CA 94588 | X | X | Chief Executive Officer |
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Signatures
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/s/ Eric S. Whitaker, as Attorney-in-Fact | | 10/5/2020 |
**Signature of Reporting Person | Date |
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