Saxonov Serge's Form 4 filing
10x Genomics, Inc. (TXG) · filed Oct 7, 2021
- Accession no.
- 0001567619-21-018030
- Filed
- Oct 7, 2021
- Trade date
- Oct 5, 2021
- Filing delay
- 2 days
- Rule 10b5-1 plan
- Not on the form (before 2023)
This filing lists 7 non-derivative transactions and 2 derivative transactions. Open-market sales total $2.15M. It was filed 2 days 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 |
|---|---|---|---|---|---|---|---|---|
| Oct 5, 2021 | Class A Common Stock | MOption exerciseAcquired | +5,208 | $5.04 | +$26,248.32 | 903,676 | Direct | |
| Oct 5, 2021 | Class A Common Stock | MOption exerciseAcquired | +3,460 | $11.48 | +$39,720.8 | 907,136 | Direct | |
| Oct 5, 2021 | Class A Common Stock | SSaleDisposed | −5,024 | $142.47F2 | −$715,769.28 | 902,112 | Direct | |
| Oct 5, 2021 | Class A Common Stock | SSaleDisposed | −6,056 | $143.40F3 | −$868,430.4 | 896,056 | Direct | |
| Oct 5, 2021 | Class A Common Stock | SSaleDisposed | −1,900 | $144.40F4 | −$274,360 | 894,156 | Direct | |
| Oct 5, 2021 | Class A Common Stock | SSaleDisposed | −1,720 | $145.42F5 | −$250,122.4 | 892,436 | Direct | |
| Oct 5, 2021 | Class A Common Stock | SSaleDisposed | −300 | $146.12F6 | −$43,836 | 892,136 | 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 |
|---|---|---|---|---|---|---|---|---|
| Oct 5, 2021 | Class A Common Stock | MOption exerciseDisposed | −5,208 | $0.00 | $0 | 63,740 | Direct | |
| Oct 5, 2021 | Class A Common Stock | MOption exerciseDisposed | −3,460 | $0.00 | $0 | 54,670 | 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 $141.94 to $142.93. 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 $142.96 to $143.94. 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 $143.96 to $144.95. 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 $144.96 to $145.93. 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 $146.02 to $146.17. 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.