Filing Details
- Accession Number:
- 0001209191-20-057069
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2020-11-04 21:35:34
- Reporting Period:
- 2020-11-02
- Accepted Time:
- 2020-11-04 21:35:34
- SEC Url:
- Form 4 Filing
Issuer
| Cik | Name | Symbol | Sector (SIC) | IRS No |
|---|---|---|---|---|
| 1770787 | 10X Genomics Inc. | TXG | Laboratory Analytical Instruments (3826) | 455614458 |
Insiders
| Cik | Name | Reported Address | Insider Title | Director | Officer | Large Shareholder | Other |
|---|---|---|---|---|---|---|---|
| 1786720 | Serge Saxonov | C/O 10X Genomics, Inc. 6230 Stoneridge Mall Road Pleasanton CA 94588 | Chief Executive Officer | Yes | Yes | Yes | No |
Reported Non-Derivative Transactions
| Sec. Name | Acquisiton - Disposition | Date | Amount | Price | Remaning Holdings | Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|---|---|---|---|---|---|
| Class A Common Stock | Acquisiton | 2020-11-02 | 6,250 | $1.20 | 973,431 | No | 4 | M | Direct | |
| Class A Common Stock | Acquisiton | 2020-11-02 | 826 | $5.04 | 974,257 | No | 4 | M | Direct | |
| Class A Common Stock | Disposition | 2020-11-02 | 1,624 | $135.45 | 972,633 | No | 4 | S | Direct | |
| Class A Common Stock | Disposition | 2020-11-02 | 4,052 | $136.13 | 968,581 | No | 4 | S | Direct | |
| Class A Common Stock | Disposition | 2020-11-02 | 500 | $137.10 | 968,081 | No | 4 | S | Direct | |
| Class A Common Stock | Disposition | 2020-11-02 | 900 | $138.54 | 967,181 | No | 4 | S | Direct | |
| Class A Common Stock | Acquisiton | 2020-11-03 | 2,924 | $5.04 | 970,105 | No | 4 | M | Direct | |
| Class A Common Stock | Disposition | 2020-11-03 | 200 | $135.54 | 969,905 | No | 4 | S | Direct | |
| Class A Common Stock | Disposition | 2020-11-03 | 1,000 | $136.55 | 968,905 | No | 4 | S | Direct | |
| Class A Common Stock | Disposition | 2020-11-03 | 1,524 | $137.50 | 967,381 | No | 4 | S | Direct | |
| Class A Common Stock | Disposition | 2020-11-03 | 200 | $138.48 | 967,181 | No | 4 | S | Direct |
| Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|
| No | 4 | M | Direct | |
| No | 4 | M | Direct | |
| No | 4 | S | Direct | |
| No | 4 | S | Direct | |
| No | 4 | S | Direct | |
| No | 4 | S | Direct | |
| No | 4 | M | Direct | |
| No | 4 | S | Direct | |
| No | 4 | S | Direct | |
| No | 4 | S | Direct | |
| No | 4 | S | Direct |
Reported Derivative Transactions
| Sec. Name | Sec. Type | Acquisiton - Disposition | Date | Amount | Price | Amount - 2 | Price - 2 |
|---|---|---|---|---|---|---|---|
| Class A Common Stock | Stock Option (right to buy) | Disposition | 2020-11-02 | 6,250 | $0.00 | 6,250 | $1.20 |
| Class A Common Stock | Stock Option (right to buy) | Disposition | 2020-11-02 | 826 | $0.00 | 826 | $5.04 |
| Class A Common Stock | Stock Option (right to buy) | Disposition | 2020-11-03 | 2,924 | $0.00 | 2,924 | $5.04 |
| Remaning Holdings | Exercise Date | Expiration Date | Equity Swap Involved | Transaction Form Type | Transaction Code | Nature of Ownership |
|---|---|---|---|---|---|---|
| 116,110 | 2027-10-18 | No | 4 | M | Direct | |
| 131,189 | 2028-11-02 | No | 4 | M | Direct | |
| 128,265 | 2028-11-02 | No | 4 | M | Direct |
Footnotes
- The option exercises and sales reported on this Form 4 were effected pursuant to a Rule 10b5-1 trading plan entered into by the Reporting Person.
- This transaction was executed in multiple trades at prices ranging from $134.84 to $135.77. 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.
- This transaction was executed in multiple trades at prices ranging from $135.855 to $136.84. 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.
- This transaction was executed in multiple trades at prices ranging from $136.85 to $137.40. 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.
- This transaction was executed in multiple trades at prices ranging from $137.88 to $139.23. 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.
- This transaction was executed in multiple trades at prices ranging from $135.09 to $135.98. 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.
- This transaction was executed in multiple trades at prices ranging from $136.09 to $136.92. 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.
- This transaction was executed in multiple trades at prices ranging from $137.12 to $137.79. 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.
- This transaction was executed in multiple trades at prices ranging from $138.20 to $138.76. 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.
- This option, originally for 300,000 shares, of which 183,890 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.
- This option, originally for 250,000 shares, of which 118,811 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.
- This option, originally for 250,000 shares, of which 121,735 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.
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