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

Sep 12, 2019

SEC Form 3 — Initial Statement of Beneficial Ownership

Issuer: 10x Genomics, Inc. (TXG)
CIK: 0001770787
Period of Report: 2019-09-11

Reporting Person: Saxonov Serge (Director, Chief Executive Officer, 10% Owner)

Holdings (Non-Derivative)

Security	Shares	Ownership
Class B Common Stock	915185	Direct

Holdings (Derivative)

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

Footnotes

F1: Each share of Class B Common Stock shall be reclassified into one share of Class A Common Stock immediately prior to the completion of the Issuer's initial public offering of Class A Common Stock.

F2: Each share of Series A-1 Preferred Stock is convertible into shares of Class A Common Stock at any time at the option of the Reporting Person and automatically upon the occurrence of certain other events set forth in the Issuer's Seventh Amended and Restated Certificate of Incorporation on a one-for-one basis and has no expiration date. Each share of Class A Common Stock is convertible at any time at the option of the Reporting Person into one share of Class B Common Stock and has no expiration date. Additionally, each share of Class A Common Stock will convert automatically into one share of Class B 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 Seventh Amended and Restated Certificate of Incorporation.

F3: (Continued from Footnote 2) Each share of Class A Common Stock shall be reclassified into one share of Class B Common Stock and each share of Class B Common Stock shall be reclassified into one share of Class A Common Stock immediately prior to the completion of the Issuer's initial public offering of Class A Common Stock. As a result of this reclassification, each share of Series A-1 Preferred Stock shall automatically convert into Class B Common Stock on a one-for-one basis immediately prior to the completion of the Issuer's initial public offering of Class A Common Stock.

F4: Each share of Class A Common Stock is convertible at any time at the option of the Reporting Person into one share of Class B Common Stock and has no expiration date. Additionally, each share of Class A Common Stock will convert automatically into one share of Class B 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 Seventh Amended and Restated Certificate of Incorporation. Each share of Class A Common Stock shall be reclassified into one share of Class B Common Stock and each share of Class B Common Stock shall be reclassified into one share of Class A Common Stock immediately prior to the completion of the Issuer's initial public offering of Class A Common Stock.

F5: 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.

F6: 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.

F7: 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 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 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 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 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 subject to the option vest each month thereafter, subject to the Reporting Person continuing as a service provider through each such date.

F10: 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 subject to the option vest each month thereafter, subject to the Reporting Person continuing as a service provider through each such date.