Sec Form 4 Filing - Foresite Capital Management I, LLC @ 10x Genomics, Inc. - 2020-05-12

Insider filing report for Changes in Beneficial Ownership
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FORM 4
Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b).
UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP
Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934, Section 17(a) of the Public Utility Holding Company Act of 1935 or Section 30(h) of the Investment Company Act of 1940
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1. Name and Address of Reporting Person
Foresite Capital Management I, LLC
2. Issuer Name and Ticker or Trading Symbol
10x Genomics, Inc. [ TXG]
5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
_____ Director X __ 10% Owner
_____ Officer (give title below) _____ Other (specify below)
(Last) (First) (Middle)
600 MONTGOMERY STREET, SUITE 4500
3. Date of Earliest Transaction (MM/DD/YY)
05/12/2020
(Street)
SAN FRANCISCO, CA94111
4. If Amendment, Date Original Filed (MM/DD/YY)
6. Individual or Joint/Group Filing (Check Applicable Line)
_____ Form filed by One Reporting Person
__ X __ Form filed by More than One Reporting Person
(City) (State) (Zip)
Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
1.Title of Security
(Instr. 3)
2. Transaction Date (MM/DD/YY) 2A. Deemed Execution Date, if any (MM/DD/YY) 3. Transaction Code
(Instr. 8)
4. Securities Acquired (A) or Disposed of (D)
(Instr. 3, 4 and 5)
5. Amount of Securities Beneficially Owned Following Reported Transaction(s)
(Instr. 3 and 4)
6. Ownership Form: Direct (D) or Indirect (I)
(Instr. 4)
7. Nature of Indirect Beneficial Ownership
(Instr. 4)
Code V Amount (A) or (D) Price
Class A Common Stock 05/12/2020 C 1,930,198 A 4,300,000 I See Footnote ( 2 )
Class A Common Stock 05/13/2020 S 800,000 D $ 80.13 3,500,000 I See Footnote ( 2 )
Class A Common Stock 05/13/2020 S 650,000 D $ 80.13 2,350,000 I See Footnote ( 3 )
Class A Common Stock 327,383 I See Footnote ( 4 )
Table II - Derivative Securities Acquired, Disposed of, or Beneficially Owned
( e.g. , puts, calls, warrants, options, convertible securities)
1. Title of Derivative Security
(Instr. 3)
2. Conversion or Exercise Price of Derivative Security 3. Transaction Date (MM/DD/YY) 3A. Deemed Execution Date, if any (MM/DD/YY) 4. Transaction Code
(Instr. 8)
5. Number of Derivative Securities Acquired (A) or Disposed of (D)
(Instr. 3, 4, and 5)
6. Date Exercisable and Expiration Date
(MM/DD/YY)
7. Title and Amount of Underlying Securities
(Instr. 3 and 4)
8. Price of Derivative Security
(Instr. 5)
9. Number of Derivative Securities Beneficially Owned Following Reported Transaction(s)
(Instr. 4)
10. Ownership Form of Derivative Security: Direct (D) or Indirect (I)
(Instr. 4)
11. Nature of Indirect Beneficial Ownership
(Instr. 4)
Code V (A) (D) Date Exercisable Expiration Date Title Amount or Number of Shares
Class B Common Stock ( 1 ) 05/12/2020 C 1,930,198 ( 1 ) ( 5 ) Class A Common Stock 1,930,198 ( 1 ) 0 I See Footnote ( 2 )
Class B Common Stock ( 1 ) ( 1 ) ( 5 ) Class A Common Stock 3,153,528 3,153,528 I See Footnote ( 3 )
Reporting Owners
Reporting Owner Name / Address Relationships
Director 10% Owner Officer Other
Foresite Capital Management I, LLC
600 MONTGOMERY STREET, SUITE 4500
SAN FRANCISCO, CA94111
X
Foresite Capital Fund I, L.P.
600 MONTGOMERY STREET, SUITE 4500
SAN FRANCISCO, CA94111
X
Foresite Capital Management II, LLC
600 MONTGOMERY STREET, SUITE 4500
SAN FRANCISCO, CA94111
X
Foresite Capital Fund II, L.P.
600 MONTGOMERY STREET, SUITE 4500
SAN FRANCISCO, CA94111
X
Tananbaum James B.
600 MONTGOMERY STREET, SUITE 4500
SAN FRANCISCO, CA94111
X
Signatures
FORESITE CAPITAL MANAGEMENT I, LLC, By: /s/ James B. Tananbaum, Managing Member 05/14/2020
Signature of Reporting Person Date
FORESITE CAPITAL FUND I, L.P., By: Foresite Capital Management I, LLC, Its: General Partner, By: /s/ James B. Tananbaum, Managing Member 05/14/2020
Signature of Reporting Person Date
FORESITE CAPITAL MANAGEMENT II, LLC, By: /s/ James B. Tananbaum, Managing Member 05/14/2020
Signature of Reporting Person Date
FORESITE CAPITAL FUND II, L.P., By: Foresite Capital Management II, LLC, Its: General Partner, By: /s/ James B. Tananbaum, Managing Member 05/14/2020
Signature of Reporting Person Date
By: /s/ James B. Tananbaum 05/14/2020
Signature of Reporting Person Date
Explanation of Responses:
( 1 )Each share of Class B Common Stock is convertible, for no additional consideration, into one (1) share of Class A Common Stock at any time at the holder's election.
( 2 )The shares are owned directly by Foresite Capital Fund I, L.P. ("FCF I"). Foresite Capital Management I, LLC ("FCM I"), the general partner of FCF I, may be deemed to have sole voting and dispositive power over these shares. Mr. Tananbaum, in his capacity as managing member of FCM I, may be deemed to have sole voting and dispositive power over these shares. Each Reporting Person disclaims the existence of a "group." Each of FCM I and its members and Mr. Tananbaum disclaims beneficial ownership of any of these shares except to the extent of any pecuniary interest therein, and the filing of this report is not an admission that FCM I and its members or Mr. Tananbaum is the beneficial owner of these shares for purposes of Section 16 or any other purpose.
( 3 )The shares are owned directly by Foresite Capital Fund II, L.P. ("FCF II"). Foresite Capital Management II, LLC ("FCM II"), the general partner of FCF II, may be deemed to have sole voting and dispositive power over these shares. Mr. Tananbaum, in his capacity as managing member of FCM II, may be deemed to have sole voting and dispositive power over these shares. Each Reporting Person disclaims the existence of a "group." Each of FCM II and its members and Mr. Tananbaum disclaims beneficial ownership of any of these shares except to the extent of any pecuniary interest therein, and the filing of this report is not an admission that FCM II and its members or Mr. Tananbaum is the beneficial owner of these shares for purposes of Section 16 or any other purpose.
( 4 )The shares are owned by James B. Tananbaum and Dana Shonfeld Tananbaum Family Trust ("Trust") of which Mr. Tananbaum is the trustee. Mr. Tananbaum disclaims beneficial ownership of any of these shares except to the extent of any pecuniary interest therein.
( 5 )The Class B Common Stock has no expiration date.

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