Statement of Changes in Beneficial Ownership (4)
August 04 2021 - 4:49PM
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
|
OMB APPROVAL
OMB Number:
3235-0287
Estimated average burden hours per response...
0.5
|
|
Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934 or Section 30(h) of the Investment Company Act of 1940
|
|
1. Name and Address of Reporting Person
*
Saxonov Serge |
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 __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)
8/3/2021 |
(Street)
PLEASANTON, CA 94588
(City)
(State)
(Zip)
|
4. If Amendment, Date Original Filed
(MM/DD/YYYY)
|
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 | 8/3/2021 | | M(1) | | 5208 | A | $5.04 | 909276 | D | |
Class A Common Stock | 8/3/2021 | | M(1) | | 9792 | A | $11.48 | 919068 | D | |
Class A Common Stock | 8/3/2021 | | S(1) | | 1700 | D | $176.5203 (2) | 917368 | D | |
Class A Common Stock | 8/3/2021 | | S(1) | | 4450 | D | $177.5574 (3) | 912918 | D | |
Class A Common Stock | 8/3/2021 | | S(1) | | 7946 | D | $178.4706 (4) | 904972 | D | |
Class A Common Stock | 8/3/2021 | | S(1) | | 904 | D | $179.3464 (5) | 904068 | D | |
Class A Common Stock | | | | | | | | 89960 | I | See Footnote (6) |
Table II - Derivative Securities Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities)
|
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) | $5.04 | 8/3/2021 | | M (1) | | | 5208 | (7) | 11/2/2028 | Class A Common Stock | 5208 | $0.00 | 74157 | D | |
Stock Option (right to buy) | $11.48 | 8/3/2021 | | M (1) | | | 9792 | (8) | 5/10/2029 | Class A Common Stock | 9792 | $0.00 | 67921 | D | |
Explanation of Responses: |
(1) | The option exercises and 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 $175.995 to $176.98. 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 $177.00 to $177.98. 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 $178.00 to $178.99. 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 $179.03 to $179.98. 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) | The shares are held by the Y/S Descendants' Trust, for which the Reporting Person serves as trustee. |
(7) | This option, originally for 250,000 shares, of which 175,843 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. |
(8) | This option, originally for 145,786 shares, of which 77,865 have been exercised, vested as to one forty-eighth of the shares on May 1, 2019, 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
|
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 |
| Chief Executive Officer |
|
Signatures
|
/s/ Eric S. Whitaker, as Attorney-in-Fact | | 8/4/2021 |
**Signature of Reporting Person | Date |
10x Genomics (NASDAQ:TXG)
Historical Stock Chart
From Jun 2024 to Jul 2024
10x Genomics (NASDAQ:TXG)
Historical Stock Chart
From Jul 2023 to Jul 2024