0001239242-20-000002.txt : 20200522 0001239242-20-000002.hdr.sgml : 20200522 20200522161131 ACCESSION NUMBER: 0001239242-20-000002 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20200520 FILED AS OF DATE: 20200522 DATE AS OF CHANGE: 20200522 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: 20905979 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 2020-05-20 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 2020-05-20 4 C 0 2156088 0 A 4387825 I By Funds Class A Common Stock 2020-05-20 4 S 0 3100000 78.00 D 1287825 I By Funds Class B Common Stock 2020-05-20 4 C 0 2156088 0 D Class A Common Stock 2156088 8790422 I By Funds 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) 812,902 shares of Class B common stock converted by Venrock Healthcare Capital Partners II, L.P. ("VHCP II"), (b) 329,617 shares of Class B common stock converted by VHCP Co-Investment Holdings II, LLC ("VHCP II Co"), (c) 939,781 shares of Class B common stock converted by Venrock Associates VI, L.P. ("VA VI") and (d) 73,788 shares of Class B common stock converted by Venrock Partners VI, L.P. ("VP VI"). Represents (a) 8,150,480 shares of Class B common stock held by VA VI and (b) 639,942 shares of Class B common stock held by 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) 272,730 shares of Class A common stock held by Venrock Healthcare Capital Partners III, L.P. ("VHCP III") and (b) 27,270 shares of Class A common stock held by VHCP Co-Investment Holdings III, LLC ("VHCP III Co"). VHCP Management III, LLC ("VHCPM III") is the sole general partner of VHCP III and the sole manager of VHCP III Co. Dr. Bong Koh and Nimish Shah are the voting members of VHCPM III. Dr. Roberts disclaims beneficial ownership over all shares held by VHCP III and VHCP III Co, except to the extent of his indirect pecuniary interests therein. Represents (a) 2,133,852 shares of Class A common stock held by VA VI and (b) 167,542 shares of Class A 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 A common stock held by VHCP II and (b) 515,386 shares of Class A common stock held by VHCP II Co. 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 voting members 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. Represents (a) 939,781 shares of Class A common stock sold by VA VI, (b) 73,788 shares of Class A common stock sold by VP VI, (c) 272,730 shares of Class A common stock sold by VHCP III, (d) 27,270 shares of Class A common stock sold by VHCP III Co, (e) 1,271,045 shares of Class A common stock sold by VHCP II and (f) 515,386 shares of Class A common stock sold by VHCP II Co. Represents (a) 1,194,071 shares of Class A common stock held by VA VI and (b) 93,754 shares of Class A 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. /s/ Bryan E. Roberts 2020-05-22