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: Saxonov Serge (Director, Chief Executive Officer)

Non-Derivative Transactions

Date	Security	Code	Shares	Price	A/D	Holdings After	Ownership
2019-09-16	Class B Common Stock	J	915185	—	Disposed	0	Direct
2019-09-16	Class A Common Stock	J	915185	—	Acquired	915185	Direct

Derivative Transactions

Date	Security	Exercise Price	Code	Shares	A/D	Expiration	Underlying	Ownership
2019-09-16	Series A-1 Preferred Stock	$	C	31865	Disposed		Class B Common Stock (31865)	Direct
2019-09-16	Class B Common Stock	$	C	31865	Acquired		Class A Common Stock (31865)	Direct
2019-09-16	Class A Common Stock	$	J	1250000	Disposed		Class B Common Stock (1250000)	Direct
2019-09-16	Class B Common Stock	$	J	1250000	Acquired		Class A Common Stock (1250000)	Direct
2019-09-16	Class A Common Stock	$	J	1750000	Disposed		Class B Common Stock (1750000)	Indirect
2019-09-16	Class B Common Stock	$	J	1750000	Acquired		Class A Common Stock (1750000)	Indirect
2019-09-16	Stock Option (right to buy)	$1.07	J	45834	Disposed	2026-11-18	Class B Common Stock (45834)	Direct
2019-09-16	Stock Option (right to buy)	$1.07	J	45834	Acquired	2026-11-18	Class A Common Stock (45834)	Direct
2019-09-16	Stock Option (right to buy)	$1.20	J	150000	Disposed	2027-10-18	Class B Common Stock (150000)	Direct
2019-09-16	Stock Option (right to buy)	$1.20	J	150000	Acquired	2027-10-18	Class A Common Stock (150000)	Direct
2019-09-16	Stock Option (right to buy)	$1.20	J	116667	Disposed	2027-10-18	Class B Common Stock (116667)	Direct
2019-09-16	Stock Option (right to buy)	$1.20	J	116667	Acquired	2027-10-18	Class A Common Stock (116667)	Direct
2019-09-16	Stock Option (right to buy)	$5.04	J	187500	Disposed	2028-11-02	Class B Common Stock (187500)	Direct
2019-09-16	Stock Option (right to buy)	$5.04	J	187500	Acquired	2028-11-02	Class A Common Stock (187500)	Direct
2019-09-16	Stock Option (right to buy)	$11.48	J	130600	Disposed	2029-05-10	Class B Common Stock (130600)	Direct
2019-09-16	Stock Option (right to buy)	$11.48	J	130600	Acquired	2029-05-10	Class A Common Stock (130600)	Direct

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: The Series A-1 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.

F3: Pursuant to a reclassification exempt under Rule 16b-7, each share of Class A Common Stock was reclassified into one share of Class B Common Stock immediately prior to the completion of the Issuer's initial public offering. 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: 250,000 shares are held by each of Polaris 2018 Irrevocable Trust, Antares 2018 Irrevocable Trust, Arcturus 2018 Irrevocable Trust, FLY 2018 Irrevocable Trust, LY 2018 Irrevocable Trust, MS 2018 Irrevocable Trust and NS 2018 Irrevocable Trust, of which the Reporting Person is the sole trustee.

F5: This option, originally for 200,000 shares, of which 154,166 have been exercised, vested as to one-fourth of the shares on August 1, 2017, and one forty-eighth 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.

F6: This option, originally for 300,000 shares, of which 150,000 have been exercised, vested as to one forty-eighth of the shares on October 1, 2017, and one-forty-eighth 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.

F7: This option, originally for 150,000 shares, of which 33,333 have been exercised, vested as to one thirty-sixth of the shares on January 1, 2019, and one thirty-sixth 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.

F8: This option, originally for 250,000 shares, of which 62,500 have been exercised, vested as to one forty-eighth of the shares on October 1, 2018, and one-forty-eighth 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.

F9: This option, originally for 145,786 shares, of which 15,186 have been exercised, vested as to one forty-eighth of the shares on May 1, 2019, and one-forty-eighth 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.