Serge Saxonov - Sep 7, 2021 Form 4 Insider Report for 10x Genomics, Inc. (TXG)

Signature
/s/ Eric S. Whitaker, as Attorney-in-Fact
Stock symbol
TXG
Transactions as of
Sep 7, 2021
Transactions value $
-$2,687,578
Form type
4
Date filed
9/9/2021, 05:28 PM
Previous filing
Aug 25, 2021
Next filing
Oct 7, 2021

Transactions Table

Type Sym Class Transaction Value $ Shares Change % * Price $ Shares After Date Ownership Footnotes
transaction TXG Class A Common Stock Gift $0 -360 -7.41% $0.00 4.5K Aug 26, 2021 See Footnote F1, F2
transaction TXG Class A Common Stock Options Exercise $26.3K +5.21K +0.58% $5.04* 904K Sep 7, 2021 Direct F3, F4
transaction TXG Class A Common Stock Options Exercise $112K +9.79K +1.08% $11.48* 913K Sep 7, 2021 Direct F3
transaction TXG Class A Common Stock Sale -$129K -700 -0.08% $184.49 913K Sep 7, 2021 Direct F3, F5
transaction TXG Class A Common Stock Sale -$223K -1.2K -0.13% $185.50 912K Sep 7, 2021 Direct F3, F6
transaction TXG Class A Common Stock Sale -$505K -2.7K -0.3% $186.74 909K Sep 7, 2021 Direct F3, F7
transaction TXG Class A Common Stock Sale -$380K -2.03K -0.22% $187.45 907K Sep 7, 2021 Direct F3, F8
transaction TXG Class A Common Stock Sale -$267K -1.41K -0.16% $188.51 905K Sep 7, 2021 Direct F3, F9
transaction TXG Class A Common Stock Sale -$531K -2.8K -0.31% $189.81 903K Sep 7, 2021 Direct F3, F10
transaction TXG Class A Common Stock Sale -$716K -3.76K -0.42% $190.44 899K Sep 7, 2021 Direct F3, F11
transaction TXG Class A Common Stock Sale -$76.5K -400 -0.04% $191.13 898K Sep 7, 2021 Direct F3, F12
holding TXG Class A Common Stock 90K Sep 7, 2021 See Footnote F13

Derivative Securities (e.g., puts, calls, warrants, options, convertible securities)

Type Sym Class Transaction Value $ Shares Change % * Price $ Shares After Date Underlying Class Amount Exercise Price Ownership Footnotes
transaction TXG Stock Option (right to buy) Options Exercise $0 -5.21K -7.02% $0.00 68.9K Sep 7, 2021 Class A Common Stock 5.21K $5.04 Direct F3, F14
transaction TXG Stock Option (right to buy) Options Exercise $0 -9.79K -14.42% $0.00 58.1K Sep 7, 2021 Class A Common Stock 9.79K $11.48 Direct F3, F15
* An asterisk sign (*) next to the price indicates that the price is likely invalid.

Explanation of Responses:

Id Content
F1 As of June 4, 2021, 4,858 shares of Class A Common Stock were held by the Andromeda Trust, for which the Reporting Person and his spouse serve as trustees (the "Andromeda Trust"), and which shares were received upon transfer from the Reporting Person. Following the disposition by gift of 360 shares on August 26, 2021, the Andromeda Trust holds 4,498 shares of Class A Common Stock.
F2 The shares are held by the Andromeda Trust.
F3 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.
F4 Reflects the transfer by the Reporting Person of 4,858 shares of Class A Common Stock to the Andromeda Trust, as referenced in footnote (1).
F5 This transaction was executed in multiple trades at prices ranging from $184.00 to $184.855. 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.
F6 This transaction was executed in multiple trades at prices ranging from $185.015 to $185.98. 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.
F7 This transaction was executed in multiple trades at prices ranging from $186.105 to $187.095. 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.
F8 This transaction was executed in multiple trades at prices ranging from $187.11 to $188.075. 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.
F9 This transaction was executed in multiple trades at prices ranging from $188.155 to $189.06. 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.
F10 This transaction was executed in multiple trades at prices ranging from $189.20 to $190.02. 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.
F11 This transaction was executed in multiple trades at prices ranging from $190.08 to $191.00. 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.
F12 This transaction was executed in multiple trades at prices ranging from $191.09 to $191.16. 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.
F13 The shares are held by the Y/S Descendants' Trust, for which the Reporting Person serves as trustee.
F14 This option, originally for 250,000 shares, of which 181,052 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.
F15 This option, originally for 145,786 shares, of which 87,656 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.