X0306 4 2019-09-16 0 0001770787 10x Genomics, Inc. TXG 0001786720 Saxonov Serge C/O 10X GENOMICS, INC. 6230 STONERIDGE MALL ROAD PLEASANTON CA 94588 1 1 0 0 Chief Executive Officer Class B Common Stock 2019-09-16 4 J 0 915185 D 0 D Class A Common Stock 2019-09-16 4 J 0 915185 A 915185 D Series A-1 Preferred Stock 2019-09-16 4 C 0 31865 0.00 D Class B Common Stock 31865 0 D Class B Common Stock 2019-09-16 4 C 0 31865 0.00 A Class A Common Stock 31865 31865 D Class A Common Stock 2019-09-16 4 J 0 1250000 0.00 D Class B Common Stock 1250000 0 D Class B Common Stock 2019-09-16 4 J 0 1250000 0.00 A Class A Common Stock 1250000 1250000 D Class A Common Stock 2019-09-16 4 J 0 1750000 0.00 D Class B Common Stock 1750000 0 I See Footnote Class B Common Stock 2019-09-16 4 J 0 1750000 0.00 A Class A Common Stock 1750000 1750000 I See Footnote Stock Option (right to buy) 1.07 2019-09-16 4 J 0 45834 0.00 D 2026-11-18 Class B Common Stock 45834 0 D Stock Option (right to buy) 1.07 2019-09-16 4 J 0 45834 0.00 A 2026-11-18 Class A Common Stock 45834 45834 D Stock Option (right to buy) 1.20 2019-09-16 4 J 0 150000 0.00 D 2027-10-18 Class B Common Stock 150000 0 D Stock Option (right to buy) 1.20 2019-09-16 4 J 0 150000 0.00 A 2027-10-18 Class A Common Stock 150000 150000 D Stock Option (right to buy) 1.20 2019-09-16 4 J 0 116667 0.00 D 2027-10-18 Class B Common Stock 116667 0 D Stock Option (right to buy) 1.20 2019-09-16 4 J 0 116667 0.00 A 2027-10-18 Class A Common Stock 116667 116667 D Stock Option (right to buy) 5.04 2019-09-16 4 J 0 187500 0.00 D 2028-11-02 Class B Common Stock 187500 0 D Stock Option (right to buy) 5.04 2019-09-16 4 J 0 187500 0.00 A 2028-11-02 Class A Common Stock 187500 187500 D Stock Option (right to buy) 11.48 2019-09-16 4 J 0 130600 0.00 D 2029-05-10 Class B Common Stock 130600 0 D Stock Option (right to buy) 11.48 2019-09-16 4 J 0 130600 0.00 A 2029-05-10 Class A Common Stock 130600 130600 D Pursuant to a reclassification exempt under Rule 16b-7, each share of Class B Common Stock was reclassified into one share of Class A Common Stock immediately prior to the completion of the Issuer's initial public offering. The Series A-1 Preferred Stock automatically converted into Class B Common Stock, on a one-for-one 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. Pursuant to a reclassification exempt under Rule 16b-7, each share of Class A Common Stock was reclassified into one share of Class B Common Stock immediately prior to the completion of the Issuer's initial public offering. 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. 250,000 shares are held by each of Polaris 2018 Irrevocable Trust, Antares 2018 Irrevocable Trust, Arcturus 2018 Irrevocable Trust, FLY 2018 Irrevocable Trust, LY 2018 Irrevocable Trust, MS 2018 Irrevocable Trust and NS 2018 Irrevocable Trust, of which the Reporting Person is the sole trustee. This option, originally for 200,000 shares, of which 154,166 have been exercised, vested as to one-fourth of the shares on August 1, 2017, and one forty-eighth of the shares subject to the option vest each month thereafter, subject to the Reporting Person continuing as a service provider through each such date. This option, originally for 300,000 shares, of which 150,000 have been exercised, vested as to one forty-eighth of the shares on October 1, 2017, and one-forty-eighth of the shares subject to the option vest each month thereafter, subject to the Reporting Person continuing as a service provider through each such date. This option, originally for 150,000 shares, of which 33,333 have been exercised, vested as to one thirty-sixth of the shares on January 1, 2019, and one thirty-sixth of the shares subject to the option vest each month thereafter, subject to the Reporting Person continuing as a service provider through each such date. This option, originally for 250,000 shares, of which 62,500 have been exercised, vested as to one forty-eighth of the shares on October 1, 2018, and one-forty-eighth of the shares subject to the option vest each month thereafter, subject to the Reporting Person continuing as a service provider through each such date. This option, originally for 145,786 shares, of which 15,186 have been exercised, vested as to one forty-eighth of the shares on May 1, 2019, and one-forty-eighth of the shares subject to the option vest each month thereafter, subject to the Reporting Person continuing as a service provider through each such date. /s/ Eric S. Whitaker, as Attorney-in-Fact 2019-09-16