Statement of Changes in Beneficial Ownership (4)
December 03 2021 - 5:54PM
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
*
Hindson Benjamin J. |
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) See Remarks |
(Last)
(First)
(Middle)
C/O 10X GENOMICS, INC., 6230 STONERIDGE MALL ROAD |
3. Date of Earliest Transaction
(MM/DD/YYYY)
12/1/2021 |
(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 | 12/1/2021 | | M(1) | | 3646 | A | $5.04 | 50412 | D | |
Class A Common Stock | 12/1/2021 | | M(1) | | 35232 | A | $11.48 | 85644 | D | |
Class A Common Stock | 12/1/2021 | | M(1) | | 2788 | A | $74.58 | 88432 | D | |
Class A Common Stock | 12/1/2021 | | S(1) | | 5400 | D | $145.6557 (2) | 83032 | D | |
Class A Common Stock | 12/1/2021 | | S(1) | | 5369 | D | $146.5263 (3) | 77663 | D | |
Class A Common Stock | 12/1/2021 | | S(1) | | 13561 | D | $147.6517 (4) | 64102 | D | |
Class A Common Stock | 12/1/2021 | | S(1) | | 7571 | D | $148.4211 (5) | 56531 | D | |
Class A Common Stock | 12/1/2021 | | S(1) | | 4849 | D | $149.4573 (6) | 51682 | D | |
Class A Common Stock | 12/1/2021 | | S(1) | | 1816 | D | $150.6621 (7) | 49866 | D | |
Class A Common Stock | 12/1/2021 | | S(1) | | 2100 | D | $151.4574 (8) | 47766 | D | |
Class A Common Stock | 12/1/2021 | | S(1) | | 100 | D | $152.2500 | 47666 | D | |
Class A Common Stock | 12/1/2021 | | S(1) | | 700 | D | $153.9136 (9) | 46966 | D | |
Class A Common Stock | 12/1/2021 | | S(1) | | 200 | D | $155.55 | 46766 | D | |
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 | 12/1/2021 | | M (1) | | | 3646 | (10) | 11/2/2028 | Class A Common Stock | 3646 | $0.00 | 47238 | D | |
Stock Option (right to buy) | $11.48 | 12/1/2021 | | M (1) | | | 35232 | (11) | 5/10/2029 | Class A Common Stock | 35232 | $0.00 | 33334 | D | |
Stock Option (right to buy) | $74.58 | 12/1/2021 | | M (1) | | | 2788 | (12) | 4/21/2030 | Class A Common Stock | 2788 | $0.00 | 133212 | D | |
Explanation of Responses: |
(1) | The transactions reported herein were effected pursuant to the Reporting Person's Rule 10b5-1 trading plan. |
(2) | This transaction was executed in multiple trades at prices ranging from $145.05 to $145.99. 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. |
(3) | This transaction was executed in multiple trades at prices ranging from $146.095 to $146.98. 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 $147.03 to $147.99. 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 $148.03 to $148.995. 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 $149.065 to $149.995. 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 $150.12 to $151.11. 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 $151.14 to $152.065. 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 $153.665 to $154.08. 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 option, originally for 175,000 shares, of which 127,762 shares have been exercised, vested as to 1/48th of the shares on October 1, 2018 and 1/48th 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. |
(11) | This option, originally for 100,000 shares, of which 66,666 shares have been exercised, vested as to 1/48th of the shares on May 1, 2019 and 1/48th 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. |
(12) | This option, originally for 136,000 shares, of which 2,788 shares have been exercised, vested as to 1/48th of the shares on May 1, 2020 and 1/48th 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. |
Remarks: Chief Scientific Officer and President |
Reporting Owners
|
Reporting Owner Name / Address | Relationships |
Director | 10% Owner | Officer | Other |
Hindson Benjamin J. C/O 10X GENOMICS, INC. 6230 STONERIDGE MALL ROAD PLEASANTON, CA 94588 | X |
| See Remarks |
|
Signatures
|
/s/ Eric S. Whitaker, as Attorney-in-Fact | | 12/3/2021 |
**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