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: STUELPNAGEL JOHN R (Director)

Holdings (Non-Derivative)

Security	Shares	Ownership
Class B Common Stock	585991	Direct

Holdings (Derivative)

Security	Exercise Price	Expiration	Underlying	Shares	Ownership
Series A-1 Preferred Stock	$		Class A Common Stock (121686)		Indirect
Series A-2 Preferred Stock	$		Class A Common Stock (457289)		Indirect
Series B Preferred Stock	$		Class A Common Stock (1253823)		Indirect
Series C Preferred Stock	$		Class A Common Stock (223304)		Indirect
Series D Preferred Stock	$		Class A Common Stock (49634)		Indirect

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: 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: Each share of Series A-1 Preferred Stock, Series A-2 Preferred Stock, Series B Preferred Stock, Series C Preferred Stock and Series D 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.

F4: (Continued from Footnote 3) 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, Series A-2 Preferred Stock, Series B Preferred Stock, Series C Preferred Stock and Series D 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.

F5: These shares are held by the John R. Stuelpnagel Trust, of which the Reporting Person is the sole trustee.