SEC FORM 3 SEC Form 3
FORM 3 UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549

INITIAL STATEMENT OF BENEFICIAL OWNERSHIP OF SECURITIES

Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934
or Section 30(h) of the Investment Company Act of 1940
 
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1. Name and Address of Reporting Person*
Foresite Capital Management I, LLC

(Last) (First) (Middle)
600 MONTGOMERY STREET
SUITE 4500

(Street)
SAN FRANCISCO CA 94111

(City) (State) (Zip)
2. Date of Event Requiring Statement (Month/Day/Year)
09/11/2019
3. Issuer Name and Ticker or Trading Symbol
10x Genomics, Inc. [ TXG ]
4. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
Director X 10% Owner
Officer (give title below) Other (specify below)
5. If Amendment, Date of Original Filed (Month/Day/Year)
6. Individual or Joint/Group Filing (Check Applicable Line)
Form filed by One Reporting Person
X Form filed by More than One Reporting Person
Table I - Non-Derivative Securities Beneficially Owned
1. Title of Security (Instr. 4) 2. Amount of Securities Beneficially Owned (Instr. 4) 3. Ownership Form: Direct (D) or Indirect (I) (Instr. 5) 4. Nature of Indirect Beneficial Ownership (Instr. 5)
Table II - Derivative Securities Beneficially Owned
(e.g., puts, calls, warrants, options, convertible securities)
1. Title of Derivative Security (Instr. 4) 2. Date Exercisable and Expiration Date (Month/Day/Year) 3. Title and Amount of Securities Underlying Derivative Security (Instr. 4) 4. Conversion or Exercise Price of Derivative Security 5. Ownership Form: Direct (D) or Indirect (I) (Instr. 5) 6. Nature of Indirect Beneficial Ownership (Instr. 5)
Date Exercisable Expiration Date Title Amount or Number of Shares
Series A-2 Convertible Preferred Stock (1) (1) Class B Common Stock 5,487,470 (1) I See Footnote(2)
Series B Convertible Preferred Stock (3) (3) Class B Common Stock 1,002,166 (3) I See Footnote(2)
Series C Convertible Preferred Stock (4) (4) Class B Common Stock 558,260 (4) I See Footnote(2)
Series B Convertible Preferred Stock (3) (3) Class B Common Stock 5,513,058 (3) I See Footnote(5)
Series C Convertible Preferred Stock (4) (4) Class B Common Stock 1,324,195 (4) I See Footnote(5)
1. Name and Address of Reporting Person*
Foresite Capital Management I, LLC

(Last) (First) (Middle)
600 MONTGOMERY STREET
SUITE 4500

(Street)
SAN FRANCISCO CA 94111

(City) (State) (Zip)
1. Name and Address of Reporting Person*
Foresite Capital Fund I, L.P.

(Last) (First) (Middle)
600 MONTGOMERY STREET
SUITE 4500

(Street)
SAN FRANCISCO CA 94111

(City) (State) (Zip)
1. Name and Address of Reporting Person*
Foresite Capital Management II, LLC

(Last) (First) (Middle)
600 MONTGOMERY STREET
SUITE 4500

(Street)
SAN FRANCISCO CA 94111

(City) (State) (Zip)
1. Name and Address of Reporting Person*
Foresite Capital Fund II, L.P.

(Last) (First) (Middle)
600 MONTGOMERY STREET
SUITE 4500

(Street)
SAN FRANCISCO CA 94111

(City) (State) (Zip)
1. Name and Address of Reporting Person*
Foresite Capital Management IV, LLC

(Last) (First) (Middle)
600 MONTGOMERY STREET
SUITE 4500

(Street)
SAN FRANCISCO CA 94111

(City) (State) (Zip)
1. Name and Address of Reporting Person*
Foresite Capital Fund IV, L.P.

(Last) (First) (Middle)
600 MONTGOMERY STREET
SUITE 4500

(Street)
SAN FRANCISCO CA 94111

(City) (State) (Zip)
1. Name and Address of Reporting Person*
Tananbaum James B.

(Last) (First) (Middle)
600 MONTGOMERY STREET
SUITE 4500

(Street)
SAN FRANCISCO CA 94111

(City) (State) (Zip)
Explanation of Responses:
1. Each share of Series A-2 Convertible Preferred Stock is convertible, for no additional consideration, into one (1) share of Class B Common Stock at any time at the holder's election and automatically upon the consummation of a qualified public offering of the Issuer. There is no expiration date for the Series A-2 Convertible Preferred Stock.
2. The shares are owned directly by Foresite Capital Fund I, L.P. ("FCF I"). Foresite Capital Management I, LLC ("FCM I"), the general partner of FCF I, may be deemed to have sole voting and dispositive power over these shares. Mr. Tananbaum, in his capacity as managing member of FCM I, may be deemed to have sole voting and dispositive power over these shares. Each Reporting Person disclaims the existence of a "group." Each of FCM I and its members and Mr. Tananbaum disclaims beneficial ownership of any of these shares except to the extent of any pecuniary interest therein, and the filing of this report is not an admission that FCM I and its members or Mr. Tananbaum is the beneficial owner of these shares for purposes of Section 16 or any other purpose.
3. Each share of Series B Convertible Preferred Stock is convertible, for no additional consideration, into one (1) share of Class B Common Stock at any time at the holder's election and automatically upon the consummation of a qualified public offering of the Issuer. There is no expiration date for the Series B Convertible Preferred Stock.
4. Each share of Series C Convertible Preferred Stock is convertible, for no additional consideration, into one (1) share of Class B Common Stock at any time at the holder's election and automatically upon the consummation of a qualified public offering of the Issuer. There is no expiration date for the Series C Convertible Preferred Stock.
5. The shares are owned directly by Foresite Capital Fund II, L.P. ("FCF II"). Foresite Capital Management II, LLC ("FCM II"), the general partner of FCF II, may be deemed to have sole voting and dispositive power over these shares. Mr. Tananbaum, in his capacity as managing member of FCM II, may be deemed to have sole voting and dispositive power over these shares. Each Reporting Person disclaims the existence of a "group." Each of FCM II and its members and Mr. Tananbaum disclaims beneficial ownership of any of these shares except to the extent of any pecuniary interest therein, and the filing of this report is not an admission that FCM II and its members or Mr. Tananbaum is the beneficial owner of these shares for purposes of Section 16 or any other purpose.
Remarks:
FORESITE CAPITAL MANAGEMENT I, LLC, By: /s/ James B. Tananbaum, Managing Member 09/11/2019
FORESITE CAPITAL FUND I, L.P., By: Foresite Capital Management I, LLC, Its: General Partner, By: /s/ James B. Tananbaum, Managing Member 09/11/2019
FORESITE CAPITAL MANAGEMENT II, L.P., By: /s/ James B. Tananbaum, Managing Member 09/11/2019
FORESITE CAPITAL FUND II, L.P., By: Foresite Capital Management II, LLC, Its: General Partner, By: /s/ James B. Tananbaum, Managing Member 09/11/2019
FORESITE CAPITAL MANAGEMENT IV, LLC, By: /s/ James B. Tananbaum, Managing Member 09/11/2019
FORESITE CAPITAL FUND IV, L.P., By: Foresite Capital Management IV, LLC, Its: General Partner, By: /s/ James B. Tananbaum, Managing Member 09/11/2019
/s/ James B. Tananbaum 09/11/2019
** Signature of Reporting Person Date
Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly.
* If the form is filed by more than one reporting person, see Instruction 5 (b)(v).
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