Statement of Changes in Beneficial Ownership (4)
February 18 2021 - 05:59PM
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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OMB
APPROVAL
OMB Number: 3235-0287
Estimated average burden
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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 * STUELPNAGEL JOHN
R |
2. Issuer Name and Ticker or Trading
Symbol 10x Genomics, Inc. [ TXG ] |
5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)__X__
Director _____
10% Owner
_____ Officer (give title
below) _____ Other
(specify below)
|
(Last)
(First)
(Middle)
C/O 10X GENOMICS, INC., 6230 STONERIDGE MALL ROAD |
3. Date of Earliest Transaction (MM/DD/YYYY)
2/16/2021
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(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 |
Table I - Non-Derivative Securities Acquired, Disposed of, or
Beneficially Owned
|
1.Title of Security
(Instr. 3) |
2. Trans. Date |
2A. Deemed Execution Date, if any |
3. Trans. Code
(Instr. 8) |
4. Securities Acquired (A) or Disposed of (D)
(Instr. 3, 4 and 5) |
5. Amount of Securities Beneficially Owned Following
Reported Transaction(s)
(Instr. 3 and 4) |
6. Ownership Form: Direct (D) or Indirect (I)
(Instr. 4) |
7. Nature of Indirect Beneficial Ownership (Instr.
4) |
Code |
V |
Amount |
(A) or (D) |
Price |
Class A Common Stock |
2/16/2021 |
|
S(1) |
|
400 |
D |
$189.5061 (2) |
465591 |
D |
|
Class A Common Stock |
2/16/2021 |
|
S(1) |
|
1400 |
D |
$190.4158 (3) |
464191 |
D |
|
Class A Common Stock |
2/16/2021 |
|
S(1) |
|
2683 |
D |
$191.6289 (4) |
461508 |
D |
|
Class A Common Stock |
2/16/2021 |
|
S(1) |
|
451 |
D |
$192.6131 (5) |
461057 |
D |
|
Class A Common Stock |
2/16/2021 |
|
S(1) |
|
600 |
D |
$194.60 (6) |
460457 |
D |
|
Class A Common Stock |
2/16/2021 |
|
S(1) |
|
800 |
D |
$195.4314 (7) |
459657 |
D |
|
Class A Common Stock |
2/16/2021 |
|
S(1) |
|
633 |
D |
$197.3609 (8) |
459024 |
D |
|
Class A Common Stock |
2/16/2021 |
|
S(1) |
|
233 |
D |
$198.0797 (9) |
458791 |
D |
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Class A Common Stock |
2/16/2021 |
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S(1) |
|
300 |
D |
$199.7833 (10) |
458491 |
D |
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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) |
The sales reported on this
Form 4 were effected pursuant to a Rule 10b5-1 trading plan entered
into by the Reporting Person. |
(2) |
This transaction was
executed in multiple trades at prices ranging from $188.99 to
$189.91. 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. |
(3) |
This transaction was
executed in multiple trades at prices ranging from $190.05 to
$190.76. 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 $191.11 to
$192.09. 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 $192.18 to
$192.95. 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 transaction was
executed in multiple trades at prices ranging from $194.15 to
$195.09. 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. |
(7) |
This transaction was
executed in multiple trades at prices ranging from $195.24 to
$195.56. 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. |
(8) |
This transaction was
executed in multiple trades at prices ranging from $196.86 to
$197.74. 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. |
(9) |
This transaction was
executed in multiple trades at prices ranging from $197.89 to
$198.26. 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. |
(10) |
This transaction was
executed in multiple trades at prices ranging from $199.46 to
$200.00. 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. |
Reporting
Owners
|
Reporting Owner Name / Address |
Relationships
|
Director |
10% Owner |
Officer |
Other |
STUELPNAGEL JOHN R
C/O 10X GENOMICS, INC.
6230 STONERIDGE MALL ROAD
PLEASANTON, CA 94588 |
X |
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Signatures
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/s/ Eric S. Whitaker, as
Attorney-in-Fact |
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2/18/2021 |
**Signature of Reporting
Person |
Date |