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*
Venrock Associates VI, L.P.

(Last) (First) (Middle)
C/O VENROCK
3340 HILLVIEW AVENUE

(Street)
PALO ALTO CA 94304

(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)
Director X 10% Owner
Officer (give title below) Other (specify below)
3. Date of Earliest Transaction (Month/Day/Year)
09/16/2020
4. 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 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 09/16/2020 J(1) 911,981(1) D $0.00 375,844 I By Funds(2)
Class A Common Stock 09/18/2020 J(3) 338,019(3) D $0.00 37,825 I By Funds(4)
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
1. Name and Address of Reporting Person*
Venrock Associates VI, L.P.

(Last) (First) (Middle)
C/O VENROCK
3340 HILLVIEW AVENUE

(Street)
PALO ALTO CA 94304

(City) (State) (Zip)
1. Name and Address of Reporting Person*
Venrock Partners VI, L.P.

(Last) (First) (Middle)
C/O VENROCK, 3340 HILLVIEW AVENUE

(Street)
PALO ALTO CA 94304

(City) (State) (Zip)
1. Name and Address of Reporting Person*
Venrock Management VI, LLC

(Last) (First) (Middle)
C/O VENROCK, 3340 HILLVIEW AVENUE

(Street)
PALO ALTO CA 94304

(City) (State) (Zip)
1. Name and Address of Reporting Person*
Venrock Partners Management VI, LLC

(Last) (First) (Middle)
C/O VENROCK, 3340 HILLVIEW AVENUE

(Street)
PALO ALTO CA 94304

(City) (State) (Zip)
Explanation of Responses:
1. On September 16, 2020, Venrock Associates VI, L.P. ("VA VI") and Venrock Partners VI, L.P. ("VP VI") distributed an aggregate of 1,250,000 shares of Class A Common Stock to their limited partners and general partners pursuant to a Trading and Distribution Plan adopted on September 11, 2020 (the "Plan"). Pursuant to the terms of the Plan, of the 1,250,000 shares distributed, 313,898 shares were distributed by VA VI to its general partner, Venrock Management VI, LLC ("VM VI") and 24,121 shares were distributed by VP VI to its general partner, Venrock Partners Management VI, LLC ("VPM VI").
2. Consists of 35,085 shares of Class A Common Stock held by VA VI, 2,740 shares of Class A Common Stock held by VP VI, 313,898 shares of Class A Common Stock held by VM VI and 24,121 shares of Class A Common Stock held by VPM VI.
3. On September 18, 2020, VM VI and VPM VI distributed an aggregate of 338,019 shares of Class A Common Stock to their members and participants pursuant to the Plan.
4. Consists of 35,085 shares of Class A Common Stock held by VA VI and 2,740 shares of Class A Common Stock held by VP VI.
Remarks:
/s/ David L. Stepp, Authorized Signatory 09/18/2020
David L. Stepp, Authorized Signatory 09/18/2020
David L. Stepp, Authorized Signatory 09/18/2020
David L. Stepp, Authorized Signatory 09/18/2020
** 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).
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