0001239242-19-000005.txt : 20190916 0001239242-19-000005.hdr.sgml : 20190916 20190916172740 ACCESSION NUMBER: 0001239242-19-000005 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20190916 FILED AS OF DATE: 20190916 DATE AS OF CHANGE: 20190916 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: ROBERTS BRYAN E CENTRAL INDEX KEY: 0001239242 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-39035 FILM NUMBER: 191095463 MAIL ADDRESS: STREET 1: C/O VENROCK ASSOCIATES STREET 2: 2494 SAND HILL ROAD STE 200 CITY: MENLO PARK STATE: CA ZIP: 94025 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: 10x Genomics, Inc. CENTRAL INDEX KEY: 0001770787 STANDARD INDUSTRIAL CLASSIFICATION: LABORATORY ANALYTICAL INSTRUMENTS [3826] IRS NUMBER: 455614458 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 BUSINESS ADDRESS: STREET 1: 6230 STONERIDGE MALL ROAD CITY: PLEASANTON STATE: CA ZIP: 94588 BUSINESS PHONE: (925) 401-7300 MAIL ADDRESS: STREET 1: 6230 STONERIDGE MALL ROAD CITY: PLEASANTON STATE: CA ZIP: 94588 FORMER COMPANY: FORMER CONFORMED NAME: 10X Genomics, Inc. DATE OF NAME CHANGE: 20190315 4 1 edgar.xml PRIMARY DOCUMENT X0306 4 2019-09-16 0001770787 10x Genomics, Inc. TXG 0001239242 ROBERTS BRYAN E C/O VENROCK 3340 HILLVIEW AVENUE PALO ALTO CA 94304 1 0 0 0 Class A Common Stock 2019-09-16 4 P 0 300000 39.00 A 300000 I By Funds Series A-2 Preferred Stock 2019-09-16 4 C 0 7819645 0 D Class B Common Stock 7819645 0 I By Funds Series B Preferred Stock 2019-09-16 4 C 0 3272171 0 D Class B Common Stock 3272171 0 I By Funds Series C Preferred Stock 2019-09-16 4 C 0 1786431 0 D Class B Common Stock 1786431 0 I By Funds Class B Common Stock 2019-09-16 4 C 0 12878247 0 A Class A Common Stock 12878247 12878247 I By Funds Represents (a) 272,730 shares of Class A common stock held by Venrock Healthcare Capital Partners II, L.P. ("VHCP II") and (b) 27,270 shares of Class A common stock held by VHCP Co-Investment Holdings II, LLC ("VHCP II Co"). VHCP Management II, LLC ("VHCPM II") is the sole general partner of VHCP II and the sole manager of VHCP II Co. Dr. Bong Koh and Nimish Shah are the sole managers of VHCPM II. Dr. Roberts disclaims beneficial ownership over all shares held by VHCP II and VHCP II Co, except to the extent of his indirect pecuniary interests therein. The Series A-1 Preferred Stock, Series A-2 Preferred Stock, Series B Preferred Stock, Series C Preferred Stock and Series D Preferred Stock automatically converted into Class B Common Stock on a 1:1 basis immediately prior to the completion of the Issuer's initial public offering and had no expiration date. Each share of Class B Common Stock is convertible at any time at the option of the Reporting Person into one share of Class A Common Stock and has no expiration date. Additionally, each share of Class B Common Stock will convert automatically into one share of Class A Common Stock upon transfer, whether or not for value (subject to certain exceptions) and upon the occurrence of certain other events set forth in the Issuer's Amended and Restated Certificate of Incorporation. Represents (a) 7,250,375 shares of Class B common stock held by Venrock Associates VI, L.P. ("VA VI") and (b) 569,270 shares of Class B common stock held by Venrock Partners VI, L.P. ("VP VI"). Venrock Management VI, LLC ("VM VI"), is the sole general partner of VA VI. Venrock Partners Management VI, LLC ("VPM VI"), is the sole general partner of VP VI. Dr. Roberts is a member of VM VI and VPM VI and disclaims beneficial ownership over all shares held by VA VI and VP VI, except to the extent of his indirect pecuniary interests therein. Represents (a) 3,033,957 shares of Class B common stock held by VA VI and (b) 238,214 shares of Class B common stock held by VP VI. VM VI is the sole general partner of VA VI. VPM VI is the sole general partner of VP VI. Dr. Roberts is a member of VM VI and VPM VI and disclaims beneficial ownership over all shares held by VA VI and VP VI, except to the extent of his indirect pecuniary interests therein. Represents (a) 1,271,045 shares of Class B common stock held by Venrock Healthcare Capital Partners II, L.P. ("VHCP II") and (b) 515,386 shares of Class B common stock held by VHCP Co-Investment Holdings II, LLC ("VHCP II Co"). VHCP Management II, LLC ("VHCPM II") is the sole general partner of VHCP II and the sole manager of VHCP II Co. Dr. Bong Koh and Nimish Shah are the sole managers of VHCPM II. Dr. Roberts disclaims beneficial ownership over all shares held by VHCP II and VHCP II Co, except to the extent of his indirect pecuniary interests therein. /s/ Bryan E. Roberts 2019-09-16