10x Genomics, Inc. — Director's Dealing 2019

Sep 16, 2019

SEC Form 4 — Statement of Changes in Beneficial Ownership

Issuer: 10x Genomics, Inc. (TXG)
CIK: 0001770787
Period of Report: 2019-09-12

Reporting Person: Foresite Capital Management I, LLC (10% Owner)
Reporting Person: Foresite Capital Fund I, L.P. (10% Owner)
Reporting Person: Foresite Capital Management II, LLC (10% Owner)
Reporting Person: Foresite Capital Fund II, L.P. (10% Owner)
Reporting Person: Tananbaum James B. (10% Owner)

Non-Derivative Transactions

Date	Security	Code	Shares	Price	A/D	Holdings After	Ownership
2019-09-12	Class A Common Stock	P	187500	$39.00	Acquired	187500	Indirect

Derivative Transactions

Date	Security	Exercise Price	Code	Shares	A/D	Expiration	Underlying	Ownership
2019-09-16	Series A-2 Convertible Preferred Stock	$	C	5487470	Disposed		Class B Common Stock (5487470)	Indirect
2019-09-16	Series B Convertible Preferred Stock	$	C	1002166	Disposed		Class B Common Stock (1002166)	Indirect
2019-09-16	Series C Convertible Preferred Stock	$	C	558260	Disposed		Class B Common Stock (558260)	Indirect
2019-09-16	Series B Convertible Preferred Stock	$	C	5513058	Disposed		Class B Common Stock (5513058)	Indirect
2019-09-16	Series C Convertible Preferred Stock	$	C	1324195	Disposed		Class B Common Stock (1324195)	Indirect
2019-09-16	Class B Common Stock	$	C	7047896	Acquired		Class A Common Stock (7047896)	Indirect
2019-09-16	Class B Common Stock	$	C	6837253	Acquired		Class A Common Stock (6837253)	Indirect

Footnotes

F1: FCF I purchased 187,500 shares of Issuer's Class A Common Stock in connection with the Issuer's initial public offering at the offering price of $39.00 per share.

F2: The shares are owned directly by Foresite Capital Fund I, L.P. ("FCF I"). Foresite Capital Management I, LLC ("FCM I"), the general partner of FCF I, may be deemed to have sole voting and dispositive power over these shares. Mr. Tananbaum, in his capacity as managing member of FCM I, may be deemed to have sole voting and dispositive power over these shares. Each Reporting Person disclaims the existence of a "group." Each of FCM I and its members and Mr. Tananbaum disclaims beneficial ownership of any of these shares except to the extent of any pecuniary interest therein, and the filing of this report is not an admission that FCM I and its members or Mr. Tananbaum is the beneficial owner of these shares for purposes of Section 16 or any other purpose.

F3: Each share of Series A-2 Convertible Preferred Stock automatically converted, for no additional consideration, into one (1) share of Issuer's Class B Common Stock upon the closing of the Issuer's initial public offering.

F4: The Series A-2 Convertible Preferred Stock has no expiration date.

F5: Each share of Series B Convertible Preferred Stock automatically converted, for no additional consideration, into one (1) share of Issuer's Class B Common Stock upon the closing of the Issuer's initial public offering.

F6: The Series B Convertible Preferred Stock has no expiration date.

F7: Each share of Series C Convertible Preferred Stock automatically converted, for no additional consideration, into one (1) share of Issuer's Class B Common Stock upon the closing of the Issuer's initial public offering.

F8: The Series C Convertible Preferred Stock has no expiration date.

F9: The shares are owned directly by Foresite Capital Fund II, L.P. ("FCF II"). Foresite Capital Management II, LLC ("FCM II"), the general partner of FCF II, may be deemed to have sole voting and dispositive power over these shares. Mr. Tananbaum, in his capacity as managing member of FCM II, may be deemed to have sole voting and dispositive power over these shares. Each Reporting Person disclaims the existence of a "group." Each of FCM II and its members and Mr. Tananbaum disclaims beneficial ownership of any of these shares except to the extent of any pecuniary interest therein, and the filing of this report is not an admission that FCM II and its members or Mr. Tananbaum is the beneficial owner of these shares for purposes of Section 16 or any other purpose.

F10: Each share of Class B Common Stock is convertible, for no additional consideration, into one (1) share of Class A Common Stock at any time at the holder's election.

F11: The Class B Common Stock has no expiration date.

F12: Each share of Series A-2 Convertible Preferred Stock, Series B Convertible Preferred Stock and Series C Convertible Preferred Stock automatically converted, for no additional consideration, into one (1) share of Issuer's Class B Common Stock upon the closing of the Issuer's initial public offering.

F13: Each share of Series B Convertible Preferred Stock and Series C Convertible Preferred Stock automatically converted, for no additional consideration, into one (1) share of Issuer's Class B Common Stock upon the closing of the Issuer's initial public offering.