Saxonov Serge's Form 4 filing
10x Genomics, Inc. (TXG) · filed Sep 9, 2021
- Accession no.
- 0001209191-21-055333
- Filed
- Sep 9, 2021
- Trade date
- Aug 26-Sep 7, 2021
- Filing delay
- 14 daysLate
- Rule 10b5-1 plan
- Not on the form (before 2023)
This filing lists 11 non-derivative transactions and 2 derivative transactions. Open-market sales total $2.83M. It was filed 14 days after the trade, past the 2-business-day deadline.
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 26, 2021 | Class A Common Stock | GGiftDisposed | −360 | $0.00 | $0 | 4,498 | Indirect | |
| Sep 7, 2021 | Class A Common Stock | MOption exerciseAcquired | +5,209 | $5.04 | +$26,253.36 | 903,677 | Direct | |
| Sep 7, 2021 | Class A Common Stock | MOption exerciseAcquired | +9,791 | $11.48 | +$112,400.68 | 913,468 | Direct | |
| Sep 7, 2021 | Class A Common Stock | SSaleDisposed | −700 | $184.49F5 | −$129,143 | 912,768 | Direct | |
| Sep 7, 2021 | Class A Common Stock | SSaleDisposed | −1,200 | $185.50F6 | −$222,600 | 911,568 | Direct | |
| Sep 7, 2021 | Class A Common Stock | SSaleDisposed | −2,702 | $186.74F7 | −$504,571.48 | 908,866 | Direct | |
| Sep 7, 2021 | Class A Common Stock | SSaleDisposed | −2,025 | $187.45F8 | −$379,586.25 | 906,841 | Direct | |
| Sep 7, 2021 | Class A Common Stock | SSaleDisposed | −1,414 | $188.51F9 | −$266,553.14 | 905,427 | Direct | |
| Sep 7, 2021 | Class A Common Stock | SSaleDisposed | −2,800 | $189.81F10 | −$531,468 | 902,627 | Direct | |
| Sep 7, 2021 | Class A Common Stock | SSaleDisposed | −3,759 | $190.44F11 | −$715,863.96 | 898,868 | Direct | |
| Sep 7, 2021 | Class A Common Stock | SSaleDisposed | −400 | $191.13F12 | −$76,452 | 898,468 | 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 |
|---|---|---|---|---|---|---|---|---|
| Sep 7, 2021 | Class A Common Stock | MOption exerciseDisposed | −5,209 | $0.00 | $0 | 68,948 | Direct | |
| Sep 7, 2021 | Class A Common Stock | MOption exerciseDisposed | −9,791 | $0.00 | $0 | 58,130 | 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.
- 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.
Referenced by the price of 1 transaction in Table I.
- 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.
Referenced by the price of 1 transaction in Table I.
- 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.
Referenced by the price of 1 transaction in Table I.
- 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.
Referenced by the price of 1 transaction in Table I.
- 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.
Referenced by the price of 1 transaction in Table I.
- 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.
Referenced by the price of 1 transaction in Table I.
- 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.
Referenced by the price of 1 transaction in Table I.
- 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.
Referenced by the price of 1 transaction in Table I.