10x Genomics, Inc. — Director's Dealing 2020

Nov 5, 2020

SEC Form 4 — Statement of Changes in Beneficial Ownership

Issuer: 10x Genomics, Inc. (TXG)
CIK: 0001770787
Period of Report: 2020-11-02

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

Non-Derivative Transactions

Date	Security	Code	Shares	Price	A/D	Holdings After	Ownership
2020-11-02	Class A Common Stock	M	6250	$1.20	Acquired	973431	Direct
2020-11-02	Class A Common Stock	M	826	$5.04	Acquired	974257	Direct
2020-11-02	Class A Common Stock	S	1624	$135.4547	Disposed	972633	Direct
2020-11-02	Class A Common Stock	S	4052	$136.127	Disposed	968581	Direct
2020-11-02	Class A Common Stock	S	500	$137.104	Disposed	968081	Direct
2020-11-02	Class A Common Stock	S	900	$138.54	Disposed	967181	Direct
2020-11-03	Class A Common Stock	M	2924	$5.04	Acquired	970105	Direct
2020-11-03	Class A Common Stock	S	200	$135.535	Disposed	969905	Direct
2020-11-03	Class A Common Stock	S	1000	$136.547	Disposed	968905	Direct
2020-11-03	Class A Common Stock	S	1524	$137.4992	Disposed	967381	Direct
2020-11-03	Class A Common Stock	S	200	$138.48	Disposed	967181	Direct

Derivative Transactions

Date	Security	Exercise Price	Code	Shares	A/D	Expiration	Underlying	Ownership
2020-11-02	Stock Option (right to buy)	$1.20	M	6250	Disposed	2027-10-18	Class A Common Stock (6250)	Direct
2020-11-02	Stock Option (right to buy)	$5.04	M	826	Disposed	2028-11-02	Class A Common Stock (826)	Direct
2020-11-03	Stock Option (right to buy)	$5.04	M	2924	Disposed	2028-11-02	Class A Common Stock (2924)	Direct

Footnotes

F1: The option exercises and sales reported on this Form 4 were effected pursuant to a Rule 10b5-1 trading plan entered into by the Reporting Person.

F2: This transaction was executed in multiple trades at prices ranging from $134.84 to $135.77. The price reported above reflects the weighted average sale price. The Reporting Person undertakes to provide upon request by the staff of the Securities and Exchange Commission, the Issuer, or a security holder of the Issuer, full information regarding the number of shares sold at each separate sale price.

F3: This transaction was executed in multiple trades at prices ranging from $135.855 to $136.84. The price reported above reflects the weighted average sale price. The Reporting Person undertakes to provide upon request by the staff of the Securities and Exchange Commission, the Issuer, or a security holder of the Issuer, full information regarding the number of shares sold at each separate sale price.

F4: This transaction was executed in multiple trades at prices ranging from $136.85 to $137.40. The price reported above reflects the weighted average sale price. The Reporting Person undertakes to provide upon request by the staff of the Securities and Exchange Commission, the Issuer, or a security holder of the Issuer, full information regarding the number of shares sold at each separate sale price.

F5: This transaction was executed in multiple trades at prices ranging from $137.88 to $139.23. The price reported above reflects the weighted average sale price. The Reporting Person undertakes to provide upon request by the staff of the Securities and Exchange Commission, the Issuer, or a security holder of the Issuer, full information regarding the number of shares sold at each separate sale price.

F6: This transaction was executed in multiple trades at prices ranging from $135.09 to $135.98. The price reported above reflects the weighted average sale price. The Reporting Person undertakes to provide upon request by the staff of the Securities and Exchange Commission, the Issuer, or a security holder of the Issuer, full information regarding the number of shares sold at each separate sale price.

F7: This transaction was executed in multiple trades at prices ranging from $136.09 to $136.92. The price reported above reflects the weighted average sale price. The Reporting Person undertakes to provide upon request by the staff of the Securities and Exchange Commission, the Issuer, or a security holder of the Issuer, full information regarding the number of shares sold at each separate sale price.

F8: This transaction was executed in multiple trades at prices ranging from $137.12 to $137.79. The price reported above reflects the weighted average sale price. The Reporting Person undertakes to provide upon request by the staff of the Securities and Exchange Commission, the Issuer, or a security holder of the Issuer, full information regarding the number of shares sold at each separate sale price.

F9: This transaction was executed in multiple trades at prices ranging from $138.20 to $138.76. The price reported above reflects the weighted average sale price. The Reporting Person undertakes to provide upon request by the staff of the Securities and Exchange Commission, the Issuer, or a security holder of the Issuer, full information regarding the number of shares sold at each separate sale price.

F10: This option, originally for 300,000 shares, of which 183,890 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.

F11: This option, originally for 250,000 shares, of which 118,811 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.

F12: This option, originally for 250,000 shares, of which 121,735 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.