SEC FORM 4 SEC Form 4
FORM 4 UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549

STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP

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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Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b).
1. Name and Address of Reporting Person*
Saxonov Serge

(Last) (First) (Middle)
C/O 10X GENOMICS, INC.
6230 STONERIDGE ROAD

(Street)
PLEASANTON CA 94588

(City) (State) (Zip)
2. Issuer Name and Ticker or Trading Symbol
10x Genomics, Inc. [ TXG ]
5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
X Director X 10% Owner
X Officer (give title below) Other (specify below)
Chief Executive Officer
3. Date of Earliest Transaction (Month/Day/Year)
10/14/2019
4. If Amendment, Date of Original Filed (Month/Day/Year)
6. Individual or Joint/Group Filing (Check Applicable Line)
X Form filed by One Reporting Person
Form filed by More than One Reporting Person
Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
1. Title of Security (Instr. 3) 2. Transaction Date (Month/Day/Year) 2A. Deemed Execution Date, if any (Month/Day/Year) 3. Transaction Code (Instr. 8) 4. Securities Acquired (A) or Disposed Of (D) (Instr. 3, 4 and 5) 5. Amount of Securities Beneficially Owned Following Reported Transaction(s) (Instr. 3 and 4) 6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4) 7. Nature of Indirect Beneficial Ownership (Instr. 4)
Code V Amount (A) or (D) Price
Class A Common Stock 10/14/2019 M 4,167 A $1.07 919,352 D
Class A Common Stock 10/14/2019 M 6,250 A $1.2 925,602 D
Class A Common Stock 10/14/2019 M 4,167 A $1.2 929,769 D
Class A Common Stock 10/14/2019 M 5,208 A $5.04 934,977 D
Class A Common Stock 10/14/2019 M 3,037 A $11.48 938,014 D
Table II - Derivative Securities Acquired, Disposed of, or Beneficially Owned
(e.g., puts, calls, warrants, options, convertible securities)
1. Title of Derivative Security (Instr. 3) 2. Conversion or Exercise Price of Derivative Security 3. Transaction Date (Month/Day/Year) 3A. Deemed Execution Date, if any (Month/Day/Year) 4. Transaction Code (Instr. 8) 5. Number of Derivative Securities Acquired (A) or Disposed of (D) (Instr. 3, 4 and 5) 6. Date Exercisable and Expiration Date (Month/Day/Year) 7. Title and Amount of Securities Underlying Derivative Security (Instr. 3 and 4) 8. Price of Derivative Security (Instr. 5) 9. Number of derivative Securities Beneficially Owned Following Reported Transaction(s) (Instr. 4) 10. Ownership Form: Direct (D) or Indirect (I) (Instr. 4) 11. Nature of Indirect Beneficial Ownership (Instr. 4)
Code V (A) (D) Date Exercisable Expiration Date Title Amount or Number of Shares
Stock Option (right to buy) $1.07 10/14/2019 M 4,167 (1) 11/18/2026 Class A Common Stock 4,167 $0.00 41,667 D
Stock Option (right to buy) $1.2 10/14/2019 M 6,250 (2) 10/18/2027 Class A Common Stock 6,250 $0.00 143,750 D
Stock Option (right to buy) $1.2 10/14/2019 M 4,167 (3) 10/18/2027 Class A Common Stock 4,167 $0.00 112,500 D
Stock Option (right to buy) $5.04 10/14/2019 M 5,208 (4) 11/02/2028 Class A Common Stock 5,208 $0.00 182,292 D
Stock Option (right to buy) $11.48 10/14/2019 M 3,037 (5) 05/10/2029 Class A Common Stock 3,037 $0.00 127,563 D
Explanation of Responses:
1. This option, originally for 200,000 shares, of which 158,333 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 vest each month thereafter, subject to the Reporting Person continuing as a service provider through each such date.
2. This option, originally for 300,000 shares, of which 156,250 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.
3. This option, originally for 150,000 shares, of which 37,500 have been exercised, vested as to one thirty-sixth of the shares on January 1, 2019, and one thirty-sixth 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
4. This option, originally for 250,000 shares, of which 67,708 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.
5. This option, originally for 145,786 shares, of which 18,223 have been exercised, vested as to one forty-eighth of the shares on May 1, 2019, 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.
Remarks:
/s/ Eric S. Whitaker, as Attorney-in-Fact 10/15/2019
** 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 4 (b)(v).
** Intentional misstatements or omissions of facts constitute Federal Criminal Violations See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a).
Note: File three copies of this Form, one of which must be manually signed. If space is insufficient, see Instruction 6 for procedure.
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