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

Mar 18, 2020

SEC Form 4 — Statement of Changes in Beneficial Ownership

Issuer: 10x Genomics, Inc. (TXG)
CIK: 0001770787
Period of Report: 2019-09-16

Reporting Person: SOFTBANK VISION FUND (AIV M2) L.P. (10% Owner)
Reporting Person: SB INVESTMENT ADVISERS (UK) LTD (10% Owner)

Non-Derivative Transactions

Date	Security	Code	Shares	Price	A/D	Holdings After	Ownership
2020-02-19	Class A Common Stock	C	3836232	$0.00	Acquired	3836232	Indirect

Derivative Transactions

Date	Security	Exercise Price	Code	Shares	A/D	Expiration	Underlying	Ownership
2019-09-16	Class B Common Stock	$	C	3836232	Acquired		Class A Common Stock (3836232)	Indirect
2019-09-16	Series C Convertible Preferred Stock	$	C	2791300	Disposed		Class B Common Stock (2791300)	Indirect
2019-09-16	Series D Convertible Preferred Stock	$	C	1044932	Disposed		Class B Common Stock (1044932)	Indirect
2020-02-19	Class B Common Stock	$	C	3836232	Disposed		Class A Common Stock (3836232)	Indirect

Footnotes

F1: The Class B Common Stock is convertible at any time at the option of the holder into Class A Common Stock on a 1:1 basis and has no expiration date. Additionally, all outstanding shares of Class B Common Stock will convert automatically into Class A Common Stock upon any 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.

F2: The Series C Convertible Preferred Stock and the Series D Convertible Preferred Stock (the "Convertible Preferred Stock") automatically converted into Class B Common Stock on a 1:1 basis immediately prior to the completion of the Issuer's initial public offering of Class A Common Stock. There is no expiration date for the Convertible Preferred Stock.

F3: Represents securities held directly by SoftBank Vision Fund (AIV M2) L.P. ("SVF"). SB Investment Advisers (UK) Limited ("SBIA UK") has been appointed as alternative investment fund manager ("AIFM") and is exclusively responsible for managing SVF in accordance with the Alternative Investment Fund Managers Directive and is authorized and regulated by the UK Financial Conduct Authority accordingly. As AIFM of SVF, SBIA UK is exclusively responsible for portfolio management and risk management. SBIA UK disclaims beneficial ownership of such shares except to the extent of its pecuniary interest therein, and the inclusion of these securities in this report shall not be deemed an admission that any reporting person is the beneficial owner of such shares for purposes of the Securities Exchange Act of 1934 or for any other purpose.