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SAXONOV SERGE
Date Filed :
Oct 07, 2021
View Exhibits
SEC FORM 4
SEC Form 4
FORM 4
UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP
Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934
or Section 30(h) of the Investment Company Act of 1940
OMB APPROVAL
OMB Number:
3235-0287
Estimated average burden
hours per response:
0.5
Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue.
See
Instruction 1(b).
1. Name and Address of Reporting Person
*
Saxonov Serge
(Last)
(First)
(Middle)
C/O 10X GENOMICS, INC.
6230 STONERIDGE MALL ROAD
(Street)
PLEASANTON
CA
94588
(City)
(State)
(Zip)
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
3. Date of Earliest Transaction (Month/Day/Year)
10/05/2021
4. If Amendment, Date of Original Filed (Month/Day/Year)
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. Transaction Date (Month/Day/Year)
2A. Deemed Execution Date, if any (Month/Day/Year)
3. Transaction 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
10/05/2021
M
(1)
5,208
A
$
5.04
903,676
D
Class A Common Stock
10/05/2021
M
(1)
3,460
A
$
11.48
907,136
D
Class A Common Stock
10/05/2021
S
(1)
5,024
D
$
142.4681
(2)
902,112
D
Class A Common Stock
10/05/2021
S
(1)
6,056
D
$
143.3964
(3)
896,056
D
Class A Common Stock
10/05/2021
S
(1)
1,900
D
$
144.4005
(4)
894,156
D
Class A Common Stock
10/05/2021
S
(1)
1,720
D
$
145.4222
(5)
892,436
D
Class A Common Stock
10/05/2021
S
(1)
300
D
$
146.1167
(6)
892,136
D
Class A Common Stock
4,498
I
See footnote
(7)
Class A Common Stock
89,960
I
See footnote
(8)
Table II - Derivative Securities Acquired, Disposed of, or Beneficially Owned
(e.g., puts, calls, warrants, options, convertible securities)
1. Title of Derivative Security (Instr. 3)
2. Conversion or Exercise Price of Derivative Security
3. Transaction Date (Month/Day/Year)
3A. Deemed Execution Date, if any (Month/Day/Year)
4. Transaction 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 (Month/Day/Year)
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: 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
10/05/2021
M
(1)
5,208
(9)
11/02/2028
Class A Common Stock
5,208
$
0.00
63,740
D
Stock Option (right to buy)
$
11.48
10/05/2021
M
(1)
3,460
(10)
05/10/2029
Class A Common Stock
3,460
$
0.00
54,670
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 $141.94 to $142.93. 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 $142.96 to $143.94. 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 $143.96 to $144.95. 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.
5. This transaction was executed in multiple trades at prices ranging from $144.96 to $145.93. 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 $146.02 to $146.17. 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. The shares are held by the Andromeda Trust, for which the Reporting Person serves as trustee.
8. The shares are held by the Y/S Descendants' Trust, for which the Reporting Person serves as trustee.
9. This option, originally for 250,000 shares, of which 186,260 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.
10. This option, originally for 145,786 shares, of which 91,116 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.
/s/ Eric S. Whitaker, as Attorney-in-Fact
10/07/2021
** Signature of Reporting Person
Date
Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly.
* If the form is filed by more than one reporting person,
see
Instruction 4 (b)(v).
** Intentional misstatements or omissions of facts constitute Federal Criminal Violations
See
18 U.S.C. 1001 and 15 U.S.C. 78ff(a).
Note: File three copies of this Form, one of which must be manually signed. If space is insufficient,
see
Instruction 6 for procedure.
Persons who respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB Number.
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