Saxonov Serge's Form 4 filing
10x Genomics, Inc. (TXG) · filed Aug 4, 2021
- Accession no.
- 0001209191-21-049657
- Filed
- Aug 4, 2021
- Trade date
- Aug 3, 2021
- Filing delay
- 1 day
- Rule 10b5-1 plan
- Not on the form (before 2023)
This filing lists 6 non-derivative transactions and 2 derivative transactions. Open-market sales total $2.67M. It was filed 1 day after the trade.
Reporting owners
A Form 4 can have several reporting owners, such as a person and a fund they control. Trade tables show the first one.
| Owner | Relationship to the company |
|---|---|
| Saxonov SergeCIK 0001786720 | Director, Officer (Chief Executive Officer) |
Non-derivative securities (Table I)
Acquisitions and disposals of common stock and similar shares, one row per line on the filing.
| Trade date | Security | Transaction | Shares | Price | Value | Shares after | Ownership | Flags |
|---|---|---|---|---|---|---|---|---|
| Aug 3, 2021 | Class A Common Stock | MOption exerciseAcquired | +5,208 | $5.04 | +$26,248.32 | 909,276 | Direct | |
| Aug 3, 2021 | Class A Common Stock | MOption exerciseAcquired | +9,792 | $11.48 | +$112,412.16 | 919,068 | Direct | |
| Aug 3, 2021 | Class A Common Stock | SSaleDisposed | −1,700 | $176.52F2 | −$300,084 | 917,368 | Direct | |
| Aug 3, 2021 | Class A Common Stock | SSaleDisposed | −4,450 | $177.56F3 | −$790,142 | 912,918 | Direct | |
| Aug 3, 2021 | Class A Common Stock | SSaleDisposed | −7,946 | $178.47F4 | −$1,418,122.62 | 904,972 | Direct | |
| Aug 3, 2021 | Class A Common Stock | SSaleDisposed | −904 | $179.35F5 | −$162,132.4 | 904,068 | Direct |
Derivative securities (Table II)
Options, warrants, restricted stock units and similar. Shares are the underlying shares; price and value are for the derivative itself, and the holding after is in derivative units.
| Trade date | Security | Transaction | Underlying shares | Unit price | Value | Held after | Ownership | Flags |
|---|---|---|---|---|---|---|---|---|
| Aug 3, 2021 | Class A Common Stock | MOption exerciseDisposed | −5,208 | $0.00 | $0 | 74,157 | Direct | |
| Aug 3, 2021 | Class A Common Stock | MOption exerciseDisposed | −9,792 | $0.00 | $0 | 67,921 | Direct |
Footnotes and remarks
Livermore keeps the footnotes that transaction prices refer to, all footnotes of amendments (Form 4/A) and the filing's remarks. Other footnotes, such as how indirect holdings are held or the details of a trading plan, are only in the original on SEC EDGAR.
- F2
This transaction was executed in multiple trades at prices ranging from $175.995 to $176.98. 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.
Referenced by the price of 1 transaction in Table I.
- F3
This transaction was executed in multiple trades at prices ranging from $177.00 to $177.98. 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.
Referenced by the price of 1 transaction in Table I.
- F4
This transaction was executed in multiple trades at prices ranging from $178.00 to $178.99. 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.
Referenced by the price of 1 transaction in Table I.
- F5
This transaction was executed in multiple trades at prices ranging from $179.03 to $179.98. 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.
Referenced by the price of 1 transaction in Table I.