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: 2019-09-16

Reporting Person: STUELPNAGEL JOHN R (Director)

Non-Derivative Transactions

Date	Security	Code	Shares	Price	A/D	Holdings After	Ownership
2019-09-16	Class B Common Stock	J	585991	—	Disposed	0	Direct
2019-09-16	Class A Common Stock	J	585991	—	Acquired	585991	Direct

Derivative Transactions

Date	Security	Exercise Price	Code	Shares	A/D	Expiration	Underlying	Ownership
2019-09-16	Series A-1 Preferred Stock	$	C	121686	Disposed		Class B Common Stock (121686)	Indirect
2019-09-16	Class B Common Stock	$	C	121686	Acquired		Class A Common Stock (121686)	Indirect
2019-09-16	Series A-2 Preferred Stock	$	C	457289	Disposed		Class B Common Stock (457289)	Indirect
2019-09-16	Class B Common Stock	$	C	457289	Acquired		Class A Common Stock (457289)	Indirect
2019-09-16	Series B Preferred Stock	$	C	1253823	Disposed		Class B Common Stock (1253823)	Indirect
2019-09-16	Class B Common Stock	$	C	1253823	Acquired		Class A Common Stock (1253823)	Indirect
2019-09-16	Series C Preferred Stock	$	C	223304	Disposed		Class B Common Stock (223304)	Indirect
2019-09-16	Class B Common Stock	$	C	223304	Acquired		Class A Common Stock (223304)	Indirect
2019-09-16	Series D Preferred Stock	$	C	49634	Disposed		Class B Common Stock (49634)	Indirect
2019-09-16	Class B Common Stock	$	C	49634	Acquired		Class A Common Stock (49634)	Indirect

Footnotes

F1: Pursuant to a reclassification exempt under Rule 16b-7, each share of Class B Common Stock was reclassified into one share of Class A Common Stock immediately prior to the completion of the Issuer's initial public offering.

F2: Includes 146,875 shares that are subject to a right of repurchase by the Issuer that lapses over time in accordance with the terms of the stock option awards that were early exercised by the Reporting Person.

F3: The Series A-1 Preferred Stock, Series A-2 Preferred Stock, Series B Preferred Stock, Series C Preferred Stock and Series D Preferred Stock automatically converted into Class B Common Stock, on a one-for-one basis, immediately prior to the completion of the Issuer's initial public offering and had no expiration date. Each share of Class B Common Stock is convertible at any time at the option of the Reporting Person into one share of Class A Common Stock and has no expiration date. Additionally, each share of Class B Common Stock will convert automatically into one share of Class A Common Stock upon transfer, whether or not for value (subject to certain exceptions) and upon the occurrence of certain other events set forth in the Issuer's Amended and Restated Certificate of Incorporation.

F4: These shares are held by the John R. Stuelpnagel Trust, of which the Reporting Person is the sole trustee.