Home/Filings/4/0000899243-19-023773

4//SEC Filing

Steed Michael Robert 4

Accession 0000899243-19-023773

CIK 0001770787other

View on SEC.gov Company Profile

Filed

Sep 17, 8:00 PM ET

Accepted

Sep 18, 6:08 AM ET

Size

43.2 KB

Accession

0000899243-19-023773

Insider Transaction Report

Form 4

Period: 2019-09-16

10x Genomics, Inc.TXG

Steed Michael Robert

10% Owner

Transactions

Conversion
Series C Convertible Preferred Stock
2019-09-16−1,004,868→ 0 total(indirect: See Footnote)
→ Class B Common Stock (1,004,868 underlying)
Conversion
Class B Common Stock
2019-09-16+1,004,868→ 8,022,085 total(indirect: See Footnote)
→ Class A Common Stock (1,004,868 underlying)
Conversion
Class B Common Stock
2019-09-16+653,082→ 8,675,167 total(indirect: See Footnote)
→ Class A Common Stock (653,082 underlying)
Conversion
Series D Convertible Preferred Stock
2019-09-16−653,082→ 0 total(indirect: See Footnote)
→ Class B Common Stock (653,082 underlying)
Conversion
Class B Common Stock
2019-09-16+790,487→ 790,487 total(indirect: See Footnote)
→ Class A Common Stock (790,487 underlying)
Conversion
Class B Common Stock
2019-09-16+3,749,767→ 4,540,254 total(indirect: See Footnote)
→ Class A Common Stock (3,749,767 underlying)
Conversion
Series A-2 Convertible Preferred Stock
2019-09-16−3,749,767→ 0 total(indirect: See Footnote)
→ Class B Common Stock (3,749,767 underlying)
Conversion
Class B Common Stock
2019-09-16+2,476,963→ 7,017,217 total(indirect: See Footnote)
→ Class A Common Stock (2,476,963 underlying)
Conversion
Series A-1 Convertible Preferred Stock
2019-09-16−790,487→ 0 total(indirect: See Footnote)
→ Class B Common Stock (790,487 underlying)
Conversion
Series B Convertible Preferred Stock
2019-09-16−2,476,963→ 0 total(indirect: See Footnote)
→ Class B Common Stock (2,476,963 underlying)

Paladin Homeland Security Corp III, Ltd.

10% Owner

Transactions

Conversion
Class B Common Stock
2019-09-16+2,476,963→ 7,017,217 total(indirect: See Footnote)
→ Class A Common Stock (2,476,963 underlying)
Conversion
Series D Convertible Preferred Stock
2019-09-16−653,082→ 0 total(indirect: See Footnote)
→ Class B Common Stock (653,082 underlying)
Conversion
Class B Common Stock
2019-09-16+3,749,767→ 4,540,254 total(indirect: See Footnote)
→ Class A Common Stock (3,749,767 underlying)
Conversion
Series C Convertible Preferred Stock
2019-09-16−1,004,868→ 0 total(indirect: See Footnote)
→ Class B Common Stock (1,004,868 underlying)
Conversion
Series A-1 Convertible Preferred Stock
2019-09-16−790,487→ 0 total(indirect: See Footnote)
→ Class B Common Stock (790,487 underlying)
Conversion
Class B Common Stock
2019-09-16+790,487→ 790,487 total(indirect: See Footnote)
→ Class A Common Stock (790,487 underlying)
Conversion
Series B Convertible Preferred Stock
2019-09-16−2,476,963→ 0 total(indirect: See Footnote)
→ Class B Common Stock (2,476,963 underlying)
Conversion
Class B Common Stock
2019-09-16+1,004,868→ 8,022,085 total(indirect: See Footnote)
→ Class A Common Stock (1,004,868 underlying)
Conversion
Class B Common Stock
2019-09-16+653,082→ 8,675,167 total(indirect: See Footnote)
→ Class A Common Stock (653,082 underlying)
Conversion
Series A-2 Convertible Preferred Stock
2019-09-16−3,749,767→ 0 total(indirect: See Footnote)
→ Class B Common Stock (3,749,767 underlying)

Paladin Holdings III, L.P.

10% Owner

Transactions

Conversion
Series C Convertible Preferred Stock
2019-09-16−1,004,868→ 0 total(indirect: See Footnote)
→ Class B Common Stock (1,004,868 underlying)
Conversion
Class B Common Stock
2019-09-16+1,004,868→ 8,022,085 total(indirect: See Footnote)
→ Class A Common Stock (1,004,868 underlying)
Conversion
Class B Common Stock
2019-09-16+790,487→ 790,487 total(indirect: See Footnote)
→ Class A Common Stock (790,487 underlying)
Conversion
Class B Common Stock
2019-09-16+2,476,963→ 7,017,217 total(indirect: See Footnote)
→ Class A Common Stock (2,476,963 underlying)
Conversion
Series A-1 Convertible Preferred Stock
2019-09-16−790,487→ 0 total(indirect: See Footnote)
→ Class B Common Stock (790,487 underlying)
Conversion
Series A-2 Convertible Preferred Stock
2019-09-16−3,749,767→ 0 total(indirect: See Footnote)
→ Class B Common Stock (3,749,767 underlying)
Conversion
Series B Convertible Preferred Stock
2019-09-16−2,476,963→ 0 total(indirect: See Footnote)
→ Class B Common Stock (2,476,963 underlying)
Conversion
Class B Common Stock
2019-09-16+653,082→ 8,675,167 total(indirect: See Footnote)
→ Class A Common Stock (653,082 underlying)
Conversion
Class B Common Stock
2019-09-16+3,749,767→ 4,540,254 total(indirect: See Footnote)
→ Class A Common Stock (3,749,767 underlying)
Conversion
Series D Convertible Preferred Stock
2019-09-16−653,082→ 0 total(indirect: See Footnote)
→ Class B Common Stock (653,082 underlying)

Paladin Holdings III (Cayman Islands), L.P.

10% Owner

Transactions

Conversion
Class B Common Stock
2019-09-16+790,487→ 790,487 total(indirect: See Footnote)
→ Class A Common Stock (790,487 underlying)
Conversion
Series A-1 Convertible Preferred Stock
2019-09-16−790,487→ 0 total(indirect: See Footnote)
→ Class B Common Stock (790,487 underlying)
Conversion
Class B Common Stock
2019-09-16+2,476,963→ 7,017,217 total(indirect: See Footnote)
→ Class A Common Stock (2,476,963 underlying)
Conversion
Series C Convertible Preferred Stock
2019-09-16−1,004,868→ 0 total(indirect: See Footnote)
→ Class B Common Stock (1,004,868 underlying)
Conversion
Series A-2 Convertible Preferred Stock
2019-09-16−3,749,767→ 0 total(indirect: See Footnote)
→ Class B Common Stock (3,749,767 underlying)
Conversion
Class B Common Stock
2019-09-16+3,749,767→ 4,540,254 total(indirect: See Footnote)
→ Class A Common Stock (3,749,767 underlying)
Conversion
Series B Convertible Preferred Stock
2019-09-16−2,476,963→ 0 total(indirect: See Footnote)
→ Class B Common Stock (2,476,963 underlying)
Conversion
Class B Common Stock
2019-09-16+1,004,868→ 8,022,085 total(indirect: See Footnote)
→ Class A Common Stock (1,004,868 underlying)
Conversion
Series D Convertible Preferred Stock
2019-09-16−653,082→ 0 total(indirect: See Footnote)
→ Class B Common Stock (653,082 underlying)
Conversion
Class B Common Stock
2019-09-16+653,082→ 8,675,167 total(indirect: See Footnote)
→ Class A Common Stock (653,082 underlying)

Paladin Capital Cyber Group, LLC

10% Owner

Transactions

Conversion
Class B Common Stock
2019-09-16+790,487→ 790,487 total(indirect: See Footnote)
→ Class A Common Stock (790,487 underlying)
Conversion
Class B Common Stock
2019-09-16+653,082→ 8,675,167 total(indirect: See Footnote)
→ Class A Common Stock (653,082 underlying)
Conversion
Series A-2 Convertible Preferred Stock
2019-09-16−3,749,767→ 0 total(indirect: See Footnote)
→ Class B Common Stock (3,749,767 underlying)
Conversion
Series B Convertible Preferred Stock
2019-09-16−2,476,963→ 0 total(indirect: See Footnote)
→ Class B Common Stock (2,476,963 underlying)
Conversion
Class B Common Stock
2019-09-16+2,476,963→ 7,017,217 total(indirect: See Footnote)
→ Class A Common Stock (2,476,963 underlying)
Conversion
Series D Convertible Preferred Stock
2019-09-16−653,082→ 0 total(indirect: See Footnote)
→ Class B Common Stock (653,082 underlying)
Conversion
Class B Common Stock
2019-09-16+1,004,868→ 8,022,085 total(indirect: See Footnote)
→ Class A Common Stock (1,004,868 underlying)
Conversion
Series A-1 Convertible Preferred Stock
2019-09-16−790,487→ 0 total(indirect: See Footnote)
→ Class B Common Stock (790,487 underlying)
Conversion
Series C Convertible Preferred Stock
2019-09-16−1,004,868→ 0 total(indirect: See Footnote)
→ Class B Common Stock (1,004,868 underlying)
Conversion
Class B Common Stock
2019-09-16+3,749,767→ 4,540,254 total(indirect: See Footnote)
→ Class A Common Stock (3,749,767 underlying)

Paladin Capital Management, LLC

10% Owner

Transactions

Conversion
Series B Convertible Preferred Stock
2019-09-16−2,476,963→ 0 total(indirect: See Footnote)
→ Class B Common Stock (2,476,963 underlying)
Conversion
Series A-1 Convertible Preferred Stock
2019-09-16−790,487→ 0 total(indirect: See Footnote)
→ Class B Common Stock (790,487 underlying)
Conversion
Series C Convertible Preferred Stock
2019-09-16−1,004,868→ 0 total(indirect: See Footnote)
→ Class B Common Stock (1,004,868 underlying)
Conversion
Class B Common Stock
2019-09-16+790,487→ 790,487 total(indirect: See Footnote)
→ Class A Common Stock (790,487 underlying)
Conversion
Series A-2 Convertible Preferred Stock
2019-09-16−3,749,767→ 0 total(indirect: See Footnote)
→ Class B Common Stock (3,749,767 underlying)
Conversion
Class B Common Stock
2019-09-16+3,749,767→ 4,540,254 total(indirect: See Footnote)
→ Class A Common Stock (3,749,767 underlying)
Conversion
Series D Convertible Preferred Stock
2019-09-16−653,082→ 0 total(indirect: See Footnote)
→ Class B Common Stock (653,082 underlying)
Conversion
Class B Common Stock
2019-09-16+653,082→ 8,675,167 total(indirect: See Footnote)
→ Class A Common Stock (653,082 underlying)
Conversion
Class B Common Stock
2019-09-16+2,476,963→ 7,017,217 total(indirect: See Footnote)
→ Class A Common Stock (2,476,963 underlying)
Conversion
Class B Common Stock
2019-09-16+1,004,868→ 8,022,085 total(indirect: See Footnote)
→ Class A Common Stock (1,004,868 underlying)

Paladin Cyber Holdings, L.P.

10% Owner

Transactions

Conversion
Series A-1 Convertible Preferred Stock
2019-09-16−790,487→ 0 total(indirect: See Footnote)
→ Class B Common Stock (790,487 underlying)
Conversion
Series B Convertible Preferred Stock
2019-09-16−2,476,963→ 0 total(indirect: See Footnote)
→ Class B Common Stock (2,476,963 underlying)
Conversion
Class B Common Stock
2019-09-16+2,476,963→ 7,017,217 total(indirect: See Footnote)
→ Class A Common Stock (2,476,963 underlying)
Conversion
Class B Common Stock
2019-09-16+653,082→ 8,675,167 total(indirect: See Footnote)
→ Class A Common Stock (653,082 underlying)
Conversion
Class B Common Stock
2019-09-16+790,487→ 790,487 total(indirect: See Footnote)
→ Class A Common Stock (790,487 underlying)
Conversion
Series A-2 Convertible Preferred Stock
2019-09-16−3,749,767→ 0 total(indirect: See Footnote)
→ Class B Common Stock (3,749,767 underlying)
Conversion
Series C Convertible Preferred Stock
2019-09-16−1,004,868→ 0 total(indirect: See Footnote)
→ Class B Common Stock (1,004,868 underlying)
Conversion
Class B Common Stock
2019-09-16+1,004,868→ 8,022,085 total(indirect: See Footnote)
→ Class A Common Stock (1,004,868 underlying)
Conversion
Class B Common Stock
2019-09-16+3,749,767→ 4,540,254 total(indirect: See Footnote)
→ Class A Common Stock (3,749,767 underlying)
Conversion
Series D Convertible Preferred Stock
2019-09-16−653,082→ 0 total(indirect: See Footnote)
→ Class B Common Stock (653,082 underlying)

Paladin Capital Group III, LLC

10% Owner

Transactions

Conversion
Series B Convertible Preferred Stock
2019-09-16−2,476,963→ 0 total(indirect: See Footnote)
→ Class B Common Stock (2,476,963 underlying)
Conversion
Class B Common Stock
2019-09-16+2,476,963→ 7,017,217 total(indirect: See Footnote)
→ Class A Common Stock (2,476,963 underlying)
Conversion
Series C Convertible Preferred Stock
2019-09-16−1,004,868→ 0 total(indirect: See Footnote)
→ Class B Common Stock (1,004,868 underlying)
Conversion
Class B Common Stock
2019-09-16+653,082→ 8,675,167 total(indirect: See Footnote)
→ Class A Common Stock (653,082 underlying)
Conversion
Series A-2 Convertible Preferred Stock
2019-09-16−3,749,767→ 0 total(indirect: See Footnote)
→ Class B Common Stock (3,749,767 underlying)
Conversion
Class B Common Stock
2019-09-16+1,004,868→ 8,022,085 total(indirect: See Footnote)
→ Class A Common Stock (1,004,868 underlying)
Conversion
Series D Convertible Preferred Stock
2019-09-16−653,082→ 0 total(indirect: See Footnote)
→ Class B Common Stock (653,082 underlying)
Conversion
Series A-1 Convertible Preferred Stock
2019-09-16−790,487→ 0 total(indirect: See Footnote)
→ Class B Common Stock (790,487 underlying)
Conversion
Class B Common Stock
2019-09-16+790,487→ 790,487 total(indirect: See Footnote)
→ Class A Common Stock (790,487 underlying)
Conversion
Class B Common Stock
2019-09-16+3,749,767→ 4,540,254 total(indirect: See Footnote)
→ Class A Common Stock (3,749,767 underlying)

Footnotes (9)

[F1]The Series A-1 Convertible Preferred Stock, Series A-2 Convertible Preferred Stock, Series B Convertible Preferred Stock, Series C Convertible Preferred Stock and Series D Convertible Preferred Stock (collectively, the "Convertible 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 of Class A Common Stock. There is no expiration date for the Convertible Preferred Stock.
[F2]The Class B Common Stock is convertible at any time at the option of the holder into Class A Common Stock on a 1:1 basis and has no expiration date. Additionally, all outstanding shares of Class B Common Stock will convert automatically into Class A Common Stock upon any 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.
[F3]Represents (a) 247,058 shares held by Paladin III, LP, (b) 208,515 shares held by Paladin III (NY City), LP, (c) 143,207 shares held by Paladin III (Cayman Islands), LP, (d) 71,129 shares held by Paladin III (HR), LP, (e) 71,129 shares held by Paladin III (CA), LP, and (f) 49,449 shares held by Paladin III Co-Investment, LLC.
[F4]Represents (a) 1,021,972 shares held by Paladin III, LP, (b) 862,538 shares held by Paladin III (NY City), LP, (c) 592,391 shares held by Paladin III (Cayman Islands), LP, (d) 294,233 shares held by Paladin III (HR), LP, (e) 294,233 shares held by Paladin III (CA), LP, and (f) 684,400 shares held by Paladin III Co-Investment, LLC.
[F5]Represents (a) 576,046 shares held by Paladin III, LP, (b) 486,180 shares held by Paladin III (NY City), LP, (c) 333,908 shares held by Paladin III (Cayman Islands), LP, (d) 165,848 shares held by Paladin III (HR), LP, (e) 165,848 shares held by Paladin III (CA), LP, and (f) 749,133 shares held by Paladin III Co-Investment, LLC.
[F6]Represents (a) 284,980 shares held by Paladin III, LP, (b) 240,521 shares held by Paladin III (NY City), LP, (c) 165,190 shares held by Paladin III (Cayman Islands), LP, (d) 82,047 shares held by Paladin III (HR), LP, (e) 82,047 shares held by Paladin III (CA), LP, and (f) 150,083 shares held by Paladin III Co-Investment, LLC.
[F7]Represents (a) 46,353 shares held by Paladin III, LP, (b) 39,121 shares held by Paladin III (NY City), LP, (c) 26,868 shares held by Paladin III (Cayman Islands), LP, (d) 13,345 shares held by Paladin III (HR), LP, (e) 13,345 shares held by Paladin III (CA), LP, (f) 14,277 shares held by Paladin III Co-Investment, LLC and (g) 499,773 shares held by Paladin International, LLC. Paladin III (Cayman Islands), LP is hereinafter referred to as the "Cayman Fund". Paladin III, LP, Paladin III (NY City), LP, Paladin III (HR), LP and Paladin III (CA), LP are hereinafter referred to as the "US Funds" and collectively with the Cayman Fund, Paladin III Co-Investment, LLC and Paladin International, LLC, the "Paladin Shareholders".
[F8]The reported securities are held directly by the Paladin Shareholders. Paladin Capital Management, LLC ("Paladin Adviser") is the discretionary investment adviser to the US Funds and the Cayman Fund. Paladin Holdings III, L.P. ("Paladin GP") is the general partner of the US Funds and the managing member of Paladin III Co-Investment, LLC. Paladin Holdings III (Cayman Islands), L.P. ("Paladin Cayman GP") is the general partner of the Cayman Fund. Paladin Cyber Holdings, L.P. ("Paladin Cyber") is the managing member of Paladin International, LLC. Paladin Capital Group III, LLC ("Capital III") is the general partner of Paladin GP, Paladin Homeland Security Corporation III, Ltd. ("Paladin III") is the general partner of Paladin Cayman GP, and Paladin Capital Cyber Group, LLC ("Cyber III") is the general partner of Paladin Cyber. Capital III, Paladin III and Cyber III are ultimately controlled by Michael Steed, who is also the Managing Partner of Paladin Advisors.
[F9](continued from footnote 8) Each of Paladin Adviser, Paladin GP, Paladin Cayman GP, Paladin Cyber, Capital III, Paladin III, Cyber III, and Mr. Steed (collectively, the "Paladin Managers") may be deemed to have voting and dispositive power over the reported securities held of record by one or more of the Paladin Shareholders. Each of the Paladin Managers disclaims beneficial ownership of the reported securities for purposes of Section 16 of the Exchange Act, except the extent of their respective pecuniary interest in the reported securities.

Documents

1 file

4
doc4.xmlPrimary
FORM 4 SUBMISSION

Issuer

10x Genomics, Inc.

CIK 0001770787

→

Entity typeother

Related Parties

filerCIK 0001788487

Filing Metadata

Form type: 4
Filed: Sep 17, 8:00 PM ET
Accepted: Sep 18, 6:08 AM ET
Size: 43.2 KB

View on SEC.gov