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 |
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| 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*
(Street)
| 2. Issuer Name and Ticker or Trading Symbol 10x Genomics, Inc. [ TXG ] | 5. Relationship of Reporting Person(s) to Issuer (Check all applicable)
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| 3. Date of Earliest Transaction (Month/Day/Year) 12/01/2021 | ||||||||||||||||||||||||||
| 4. If Amendment, Date of Original Filed (Month/Day/Year) | 6. Individual or Joint/Group Filing (Check Applicable Line)
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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) | 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 | 12/01/2021 | M(1) | 3,646 | A | $5.04 | 50,412 | D | |||
| Class A Common Stock | 12/01/2021 | M(1) | 35,232 | A | $11.48 | 85,644 | D | |||
| Class A Common Stock | 12/01/2021 | M(1) | 2,788 | A | $74.58 | 88,432 | D | |||
| Class A Common Stock | 12/01/2021 | S(1) | 5,400 | D | $145.6557(2) | 83,032 | D | |||
| Class A Common Stock | 12/01/2021 | S(1) | 5,369 | D | $146.5263(3) | 77,663 | D | |||
| Class A Common Stock | 12/01/2021 | S(1) | 13,561 | D | $147.6517(4) | 64,102 | D | |||
| Class A Common Stock | 12/01/2021 | S(1) | 7,571 | D | $148.4211(5) | 56,531 | D | |||
| Class A Common Stock | 12/01/2021 | S(1) | 4,849 | D | $149.4573(6) | 51,682 | D | |||
| Class A Common Stock | 12/01/2021 | S(1) | 1,816 | D | $150.6621(7) | 49,866 | D | |||
| Class A Common Stock | 12/01/2021 | S(1) | 2,100 | D | $151.4574(8) | 47,766 | D | |||
| Class A Common Stock | 12/01/2021 | S(1) | 100 | D | $152.25 | 47,666 | D | |||
| Class A Common Stock | 12/01/2021 | S(1) | 700 | D | $153.9136(9) | 46,966 | D | |||
| Class A Common Stock | 12/01/2021 | S(1) | 200 | D | $155.55 | 46,766 | D | |||
| Table II - Derivative Securities Acquired, Disposed of, or Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities) | |||||||||||||||
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| 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 | 12/01/2021 | M(1) | 3,646 | (10) | 11/02/2028 | Class A Common Stock | 3,646 | $0.00 | 47,238 | D | ||||
| Stock Option (right to buy) | $11.48 | 12/01/2021 | M(1) | 35,232 | (11) | 05/10/2029 | Class A Common Stock | 35,232 | $0.00 | 33,334 | D | ||||
| Stock Option (right to buy) | $74.58 | 12/01/2021 | M(1) | 2,788 | (12) | 04/21/2030 | Class A Common Stock | 2,788 | $0.00 | 133,212 | 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 |
| /s/ Eric S. Whitaker, as Attorney-in-Fact | 12/03/2021 | |
| ** 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. | ||