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

Sep 4, 2020

SEC Form 4 — Statement of Changes in Beneficial Ownership

Issuer: 10x Genomics, Inc. (TXG)
CIK: 0001770787
Period of Report: 2020-09-01

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

Non-Derivative Transactions

Date	Security	Code	Shares	Price	A/D	Holdings After	Ownership
2020-09-01	Class A Common Stock	M	2640	$1.20	Acquired	955821	Direct
2020-09-01	Class A Common Stock	M	7360	$5.04	Acquired	963181	Direct
2020-09-01	Class A Common Stock	M	14000	$1.07	Acquired	977181	Direct
2020-09-01	Class A Common Stock	S	1700	$112.8623	Disposed	975481	Direct
2020-09-01	Class A Common Stock	S	5086	$113.8207	Disposed	970395	Direct
2020-09-01	Class A Common Stock	S	3014	$114.7403	Disposed	967381	Direct
2020-09-01	Class A Common Stock	S	200	$115.525	Disposed	967181	Direct

Derivative Transactions

Date	Security	Exercise Price	Code	Shares	A/D	Expiration	Underlying	Ownership
2020-09-01	Stock Option (right to buy)	$1.20	M	2640	Disposed	2027-10-18	Class A Common Stock (2640)	Direct
2020-09-01	Stock Option (right to buy)	$5.04	M	7360	Disposed	2028-11-02	Class A Common Stock (7360)	Direct
2020-09-01	Stock Option (right to buy)	$1.07	M	14000	Disposed	2026-11-18	Class A Common Stock (14000)	Direct

Footnotes

F1: This option exercise was effected pursuant to a Rule 10b5-1 trading plan entered into by the Reporting Person.

F2: This option exercise was not effected pursuant to a Rule 10b5-1 trading plan.

F3: This sale was effected pursuant to a Rule 10b5-1 trading plan entered into by the Reporting Person.

F4: This transaction was executed in multiple trades at prices ranging from $112.28 to $113.25. 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 $113.35 to $114.33. 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 $114.37 to $115.28. 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 $115.46 to $115.59. 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 option, originally for 300,000 shares, of which 171,390 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.

F9: This option, originally for 250,000 shares, of which 114,235 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.

F10: This option, originally for 200,000 shares, of which 197,333 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 vested each month thereafter, subject to the Reporting Person continuing as a service provider through each such date.