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10x Genomics, Inc.

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0001770787
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407

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0 purchase rows · 50 sale rows

Disclosed non-derivative P/S rows, by transaction month. Includes amendments and private transactions.
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MonthPurchasesSales
Nov 202503
Dec 202500
Jan 202600
Feb 202604
Mar 202604
Apr 202601
May 202604
Jun 202606
Jul 202600
Aug 2026012
Sep 2026016
Oct 202600

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Purchases/sales include open-market and private transactions. Plan disclosure applies to the filing; individual rows may differ. “Not disclosed” is not “unplanned.”

The cutoff filters transaction history only. Company summaries and owner relationships show the latest available disclosures. Parser corrections can improve historical records.

Transaction dateOwner / reported roleActivity / securityShares / unitsReported priceReported valueDetails
June 01, 2020 Filed Jun 3, 2020 21:55 UTC
Hindson Benjamin J.Director · See Remarks · 10% owner
SaleClass A Common Stock 4,800 $79.99 $383,928.48
Disclosure

SEC source: 0001209191-20-034164 · doc4.xml · nonDerivative · entry 5

Hindson Benjamin J. · CIK 0001786391 · Director · See Remarks · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 81,652

F1 · kind: The option exercise and sales reported on this Form 4 were effected pursuant to a Rule 10b5-1 trading plan entered into by the Reporting Person.

F5 · price: This transaction was executed in multiple trades at prices ranging from $79.65 to $80.59. The price reported above reflects the weighted average sale price. The Reporting Person undertakes to provide upon request by the staff of the Securities and Exchange Commission, the Issuer, or a security holder of the Issuer, full information regarding the number of shares sold at each separate sale price.

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June 01, 2020 Filed Jun 3, 2020 21:55 UTC
Hindson Benjamin J.Director · See Remarks · 10% owner
SaleClass A Common Stock 4,700 $79.15 $372,019.10
Disclosure

SEC source: 0001209191-20-034164 · doc4.xml · nonDerivative · entry 4

Hindson Benjamin J. · CIK 0001786391 · Director · See Remarks · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 86,452

F1 · kind: The option exercise and sales reported on this Form 4 were effected pursuant to a Rule 10b5-1 trading plan entered into by the Reporting Person.

F4 · price: This transaction was executed in multiple trades at prices ranging from $78.65 to $79.64. The price reported above reflects the weighted average sale price. The Reporting Person undertakes to provide upon request by the staff of the Securities and Exchange Commission, the Issuer, or a security holder of the Issuer, full information regarding the number of shares sold at each separate sale price.

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June 01, 2020 Filed Jun 3, 2020 21:55 UTC
Hindson Benjamin J.Director · See Remarks · 10% owner
SaleClass A Common Stock 7,000 $78.07 $546,459.90
Disclosure

SEC source: 0001209191-20-034164 · doc4.xml · nonDerivative · entry 3

Hindson Benjamin J. · CIK 0001786391 · Director · See Remarks · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 91,152

F1 · kind: The option exercise and sales reported on this Form 4 were effected pursuant to a Rule 10b5-1 trading plan entered into by the Reporting Person.

F3 · price: This transaction was executed in multiple trades at prices ranging from $77.59 to $78.57. The price reported above reflects the weighted average sale price. The Reporting Person undertakes to provide upon request by the staff of the Securities and Exchange Commission, the Issuer, or a security holder of the Issuer, full information regarding the number of shares sold at each separate sale price.

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June 01, 2020 Filed Jun 3, 2020 21:55 UTC
Hindson Benjamin J.Director · See Remarks · 10% owner
SaleClass A Common Stock 3,098 $77.12 $238,911.25
Disclosure

SEC source: 0001209191-20-034164 · doc4.xml · nonDerivative · entry 2

Hindson Benjamin J. · CIK 0001786391 · Director · See Remarks · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 98,152

F1 · kind: The option exercise and sales reported on this Form 4 were effected pursuant to a Rule 10b5-1 trading plan entered into by the Reporting Person.

F2 · price: This transaction was executed in multiple trades at prices ranging from $76.595 to $77.50. The price reported above reflects the weighted average sale price. The Reporting Person undertakes to provide upon request by the staff of the Securities and Exchange Commission, the Issuer, or a security holder of the Issuer, full information regarding the number of shares sold at each separate sale price.

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June 01, 2020 Filed Jun 3, 2020 21:55 UTC
Hindson Benjamin J.Director · See Remarks · 10% owner
Exercise / conversionClass A Common Stock 33,750 $0.88 $29,700.00
Disclosure

SEC source: 0001209191-20-034164 · doc4.xml · nonDerivative · entry 1

Hindson Benjamin J. · CIK 0001786391 · Director · See Remarks · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 101,250

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · kind: The option exercise and sales reported on this Form 4 were effected pursuant to a Rule 10b5-1 trading plan entered into by the Reporting Person.

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May 29, 2020 Filed Jun 1, 2020 23:16 UTC Exercise / conversionStock Option (right to buy) · Derivative 10,000 $0.00 Strike: $11.48 $0.00
Disclosure

SEC source: 0001209191-20-033305 · doc4.xml · derivative · entry 3

Kosaraju Sridhar · CIK 0001651325 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 109,167

Underlying: Class A Common Stock · 10,000 shares

Expires 2029-05-10

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F2 · derivative.exercise_date: This option, originally for 130,000 shares, of which 20,833 have been exercised, vested as to one forty-eighth of the shares on April 29, 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. This option may be exercised prior to vesting, subject to the Issuer's right to repurchase unvested shares.

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May 29, 2020 Filed Jun 1, 2020 23:16 UTC Exercise / conversionClass A Common Stock 10,000 $11.48 $114,800.00
Disclosure

SEC source: 0001209191-20-033305 · doc4.xml · nonDerivative · entry 1

Kosaraju Sridhar · CIK 0001651325 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 10,000

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

Read SEC document
May 20, 2020 Filed May 22, 2020 16:09 UTC ConversionClass B Common Stock · Derivative 1,013,569 $0.00 $0.00
Disclosure

SEC source: 0001495384-20-000002 · edgar.xml · derivative · entry 3

Venrock Associates VI, L.P. · CIK 0001495384 · 10% owner

Venrock Partners VI, L.P. · CIK 0001495386 · 10% owner

Venrock Management VI, LLC · CIK 0001495383 · 10% owner

Venrock Partners Management VI, LLC · CIK 0001495385 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Indirect · By Funds

Disclosed balance after: 8,790,422

Underlying: Class A Common Stock · 1,013,569 shares

Expires not disclosed

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · derivative.exercise_price: 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.

F1 · derivative.exercise_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.

F1 · derivative.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.

F1 · derivative.underlying: 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.

F2 · ownership.nature: Represents (a) 8,150,480 shares of Class B common stock held by Venrock Associates VI, L.P. ("VA VI") and (b) 639,942 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. VM VI and VPM VI disclaim beneficial ownership over all shares held by VA VI and VP VI, respectively, except to the extent of their indirect pecuniary interests therein.

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May 20, 2020 Filed May 22, 2020 16:09 UTC SaleClass A Common Stock 1,013,569 $78.00 $79,058,382.00
Disclosure

SEC source: 0001495384-20-000002 · edgar.xml · nonDerivative · entry 2

Venrock Associates VI, L.P. · CIK 0001495384 · 10% owner

Venrock Partners VI, L.P. · CIK 0001495386 · 10% owner

Venrock Management VI, LLC · CIK 0001495383 · 10% owner

Venrock Partners Management VI, LLC · CIK 0001495385 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Indirect · By Funds

Disclosed balance after: 1,287,825

F4 · ownership.nature: 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. VM VI and VPM VI disclaim beneficial ownership over all shares held by VA VI and VP VI, respectively, except to the extent of their indirect pecuniary interests therein.

Read SEC document
May 20, 2020 Filed May 22, 2020 16:09 UTC ConversionClass A Common Stock 1,013,569 $0.00 $0.00
Disclosure

SEC source: 0001495384-20-000002 · edgar.xml · nonDerivative · entry 1

Venrock Associates VI, L.P. · CIK 0001495384 · 10% owner

Venrock Partners VI, L.P. · CIK 0001495386 · 10% owner

Venrock Management VI, LLC · CIK 0001495383 · 10% owner

Venrock Partners Management VI, LLC · CIK 0001495385 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Indirect · By Funds

Disclosed balance after: 2,301,394

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · price: 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.

F3 · ownership.nature: 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. VM VI and VPM VI disclaim beneficial ownership over all shares held by VA VI and VP VI, respectively, except to the extent of their indirect pecuniary interests therein.

Read SEC document
May 20, 2020 Filed May 22, 2020 16:11 UTC ConversionClass B Common Stock · Derivative 2,156,088 $0.00 $0.00
Disclosure

SEC source: 0001239242-20-000002 · edgar.xml · derivative · entry 3

ROBERTS BRYAN E · CIK 0001239242 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · By Funds

Disclosed balance after: 8,790,422

Underlying: Class A Common Stock · 2,156,088 shares

Expires not disclosed

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · derivative.exercise_price: 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.

F2 · shares: 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").

F1 · derivative.exercise_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.

F1 · derivative.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.

F1 · derivative.underlying: 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.

F3 · ownership.nature: 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.

Read SEC document
May 20, 2020 Filed May 22, 2020 16:11 UTC SaleClass A Common Stock 3,100,000 $78.00 $241,800,000.00
Disclosure

SEC source: 0001239242-20-000002 · edgar.xml · nonDerivative · entry 2

ROBERTS BRYAN E · CIK 0001239242 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · By Funds

Disclosed balance after: 1,287,825

F7 · shares: 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.

F8 · ownership.nature: 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.

Read SEC document
May 20, 2020 Filed May 22, 2020 16:11 UTC ConversionClass A Common Stock 2,156,088 $0.00 $0.00
Disclosure

SEC source: 0001239242-20-000002 · edgar.xml · nonDerivative · entry 1

ROBERTS BRYAN E · CIK 0001239242 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · By Funds

Disclosed balance after: 4,387,825

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · price: 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.

F4 · ownership.nature: 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.

F5 · ownership.nature: 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.

F6 · ownership.nature: 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.

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May 19, 2020 Filed May 20, 2020 21:54 UTC
Saxonov SergeDirector · Chief Executive Officer · 10% owner
GiftClass A Common Stock 1,500 $0.00 $0.00
Disclosure

SEC source: 0001209191-20-030990 · doc4.xml · nonDerivative · entry 1

Saxonov Serge · CIK 0001786720 · Director · Chief Executive Officer · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 953,181

Read SEC document
May 13, 2020 Filed May 14, 2020 18:01 UTC SaleClass A Common Stock 650,000 $80.13 $52,084,500.00
Disclosure

SEC source: 0000899243-20-013113 · doc4.xml · nonDerivative · entry 3

Foresite Capital Management I, LLC · CIK 0001581219 · 10% owner

Foresite Capital Fund I, L.P. · CIK 0001562157 · 10% owner

Foresite Capital Management II, LLC · CIK 0001594912 · 10% owner

Foresite Capital Fund II, L.P. · CIK 0001594914 · 10% owner

Tananbaum James B. · CIK 0001581754 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Indirect · See Footnote

Disclosed balance after: 2,350,000

F3 · ownership.nature: 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.

Read SEC document
May 13, 2020 Filed May 14, 2020 18:01 UTC SaleClass A Common Stock 800,000 $80.13 $64,104,000.00
Disclosure

SEC source: 0000899243-20-013113 · doc4.xml · nonDerivative · entry 2

Foresite Capital Management I, LLC · CIK 0001581219 · 10% owner

Foresite Capital Fund I, L.P. · CIK 0001562157 · 10% owner

Foresite Capital Management II, LLC · CIK 0001594912 · 10% owner

Foresite Capital Fund II, L.P. · CIK 0001594914 · 10% owner

Tananbaum James B. · CIK 0001581754 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Indirect · See Footnote

Disclosed balance after: 3,500,000

F2 · ownership.nature: 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.

Read SEC document
May 12, 2020 Filed May 14, 2020 18:01 UTC ConversionClass B Common Stock · Derivative 1,930,198 Not disclosed Not disclosed
Disclosure

SEC source: 0000899243-20-013113 · doc4.xml · derivative · entry 5

Foresite Capital Management I, LLC · CIK 0001581219 · 10% owner

Foresite Capital Fund I, L.P. · CIK 0001562157 · 10% owner

Foresite Capital Management II, LLC · CIK 0001594912 · 10% owner

Foresite Capital Fund II, L.P. · CIK 0001594914 · 10% owner

Tananbaum James B. · CIK 0001581754 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Indirect · See Footnote

Disclosed balance after: 0

Underlying: Class A Common Stock · 1,930,198 shares

Expires not disclosed

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · derivative.exercise_price: 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.

F1 · price: 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.

F1 · derivative.exercise_date: 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.

F5 · derivative.expiration_date: The Class B Common Stock has no expiration date.

F2 · ownership.nature: 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.

Read SEC document
May 12, 2020 Filed May 14, 2020 18:01 UTC ConversionClass A Common Stock 1,930,198 Not disclosed Not disclosed
Disclosure

SEC source: 0000899243-20-013113 · doc4.xml · nonDerivative · entry 1

Foresite Capital Management I, LLC · CIK 0001581219 · 10% owner

Foresite Capital Fund I, L.P. · CIK 0001562157 · 10% owner

Foresite Capital Management II, LLC · CIK 0001594912 · 10% owner

Foresite Capital Fund II, L.P. · CIK 0001594914 · 10% owner

Tananbaum James B. · CIK 0001581754 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Indirect · See Footnote

Disclosed balance after: 4,300,000

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · price: 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.

F2 · ownership.nature: 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.

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May 06, 2020 Filed May 8, 2020 08:39 UTC ConversionClass B Common Stock · Derivative 1,500,000 Not disclosed Not disclosed
Disclosure

SEC source: 0000899243-20-012367 · doc4.xml · derivative · entry 5

Foresite Capital Management I, LLC · CIK 0001581219 · 10% owner

Foresite Capital Fund I, L.P. · CIK 0001562157 · 10% owner

Foresite Capital Management II, LLC · CIK 0001594912 · 10% owner

Foresite Capital Fund II, L.P. · CIK 0001594914 · 10% owner

Tananbaum James B. · CIK 0001581754 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Indirect · See Footnote

Disclosed balance after: 3,153,528

Underlying: Class A Common Stock · 1,500,000 shares

Expires not disclosed

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · derivative.exercise_price: 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.

F1 · price: 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.

F1 · derivative.exercise_date: 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.

F5 · derivative.expiration_date: The Class B Common Stock has no expiration date.

F3 · ownership.nature: 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.

Read SEC document
May 06, 2020 Filed May 8, 2020 08:39 UTC ConversionClass B Common Stock · Derivative 500,000 Not disclosed Not disclosed
Disclosure

SEC source: 0000899243-20-012367 · doc4.xml · derivative · entry 4

Foresite Capital Management I, LLC · CIK 0001581219 · 10% owner

Foresite Capital Fund I, L.P. · CIK 0001562157 · 10% owner

Foresite Capital Management II, LLC · CIK 0001594912 · 10% owner

Foresite Capital Fund II, L.P. · CIK 0001594914 · 10% owner

Tananbaum James B. · CIK 0001581754 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Indirect · See Footnote

Disclosed balance after: 1,930,198

Underlying: Class A Common Stock · 500,000 shares

Expires not disclosed

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · derivative.exercise_price: 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.

F1 · price: 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.

F1 · derivative.exercise_date: 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.

F5 · derivative.expiration_date: The Class B Common Stock has no expiration date.

F2 · ownership.nature: 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.

Read SEC document
May 06, 2020 Filed May 8, 2020 08:39 UTC ConversionClass A Common Stock 1,500,000 Not disclosed Not disclosed
Disclosure

SEC source: 0000899243-20-012367 · doc4.xml · nonDerivative · entry 2

Foresite Capital Management I, LLC · CIK 0001581219 · 10% owner

Foresite Capital Fund I, L.P. · CIK 0001562157 · 10% owner

Foresite Capital Management II, LLC · CIK 0001594912 · 10% owner

Foresite Capital Fund II, L.P. · CIK 0001594914 · 10% owner

Tananbaum James B. · CIK 0001581754 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Indirect · See footnote

Disclosed balance after: 3,000,000

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · price: 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.

F3 · ownership.nature: 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.

Read SEC document
May 06, 2020 Filed May 8, 2020 08:39 UTC ConversionClass A Common Stock 500,000 Not disclosed Not disclosed
Disclosure

SEC source: 0000899243-20-012367 · doc4.xml · nonDerivative · entry 1

Foresite Capital Management I, LLC · CIK 0001581219 · 10% owner

Foresite Capital Fund I, L.P. · CIK 0001562157 · 10% owner

Foresite Capital Management II, LLC · CIK 0001594912 · 10% owner

Foresite Capital Fund II, L.P. · CIK 0001594914 · 10% owner

Tananbaum James B. · CIK 0001581754 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Indirect · See footnote

Disclosed balance after: 2,369,802

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · price: 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.

F2 · ownership.nature: 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.

Read SEC document
May 01, 2020 Filed May 1, 2020 20:47 UTC ConversionClass B Common Stock · Derivative 1,287,825 $0.00 $0.00
Disclosure

SEC source: 0001495384-20-000001 · edgar.xml · derivative · entry 2

Venrock Associates VI, L.P. · CIK 0001495384 · 10% owner

Venrock Partners VI, L.P. · CIK 0001495386 · 10% owner

Venrock Management VI, LLC · CIK 0001495383 · 10% owner

Venrock Partners Management VI, LLC · CIK 0001495385 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Indirect · By Funds

Disclosed balance after: 9,803,991

Underlying: Class A Common Stock · 1,287,825 shares

Expires not disclosed

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · derivative.exercise_price: 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.

F1 · derivative.exercise_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.

F1 · derivative.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.

F1 · derivative.underlying: 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.

F2 · ownership.nature: Represents (a) 9,090,261 shares of Class B common stock held by Venrock Associates VI, L.P. ("VA VI") and (b) 713,730 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. VM VI and VPM VI disclaim beneficial ownership over all shares held by VA VI and VP VI, respectively, except to the extent of their indirect pecuniary interests therein.

Read SEC document
May 01, 2020 Filed May 1, 2020 20:47 UTC ConversionClass A Common Stock 1,287,825 $0.00 $0.00
Disclosure

SEC source: 0001495384-20-000001 · edgar.xml · nonDerivative · entry 1

Venrock Associates VI, L.P. · CIK 0001495384 · 10% owner

Venrock Partners VI, L.P. · CIK 0001495386 · 10% owner

Venrock Management VI, LLC · CIK 0001495383 · 10% owner

Venrock Partners Management VI, LLC · CIK 0001495385 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Indirect · By Funds

Disclosed balance after: 1,287,825

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · price: 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.

F3 · ownership.nature: 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. VM VI and VPM VI disclaim beneficial ownership over all shares held by VA VI and VP VI, respectively, except to the extent of their indirect pecuniary interests therein.

Read SEC document
May 01, 2020 Filed May 1, 2020 20:51 UTC ConversionClass B Common Stock · Derivative 1,931,737 $0.00 $0.00
Disclosure

SEC source: 0001239242-20-000001 · edgar.xml · derivative · entry 2

ROBERTS BRYAN E · CIK 0001239242 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · By Funds

Disclosed balance after: 10,946,510

Underlying: Class A Common Stock · 1,931,737 shares

Expires not disclosed

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · derivative.exercise_price: 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.

F1 · derivative.exercise_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.

F1 · derivative.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.

F1 · derivative.underlying: 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.

F2 · ownership.nature: Represents (a) 9,090,261 shares of Class B common stock held by Venrock Associates VI, L.P. ("VA VI") and (b) 713,730 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.

F3 · ownership.nature: Represents (a) 812,902 shares of Class B common stock held by Venrock Healthcare Capital Partners II, L.P. ("VHCP II") and (b) 329,617 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 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.

Read SEC document
May 01, 2020 Filed May 1, 2020 20:51 UTC ConversionClass A Common Stock 1,931,737 $0.00 $0.00
Disclosure

SEC source: 0001239242-20-000001 · edgar.xml · nonDerivative · entry 1

ROBERTS BRYAN E · CIK 0001239242 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · By Funds

Disclosed balance after: 2,231,737

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · price: 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.

F4 · ownership.nature: 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.

F5 · ownership.nature: 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.

F6 · ownership.nature: Represents (a) 458,143 shares of Class A common stock held by VHCP II and (b) 185,769 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.

Read SEC document
May 01, 2020 Filed May 5, 2020 16:51 UTC
CRUTCHFIELD BRADFORDChief Commercial Officer
Exercise / conversionStock Option (right to buy) · Derivative 17,000 $0.00 Strike: $1.16 $0.00
Disclosure

SEC source: 0001209191-20-027168 · doc4.xml · derivative · entry 6

CRUTCHFIELD BRADFORD · CIK 0001246406 · Chief Commercial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 749,000

Underlying: Class A Common Stock · 17,000 shares

Expires 2027-02-03

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · kind: The option exercise and sales reported on this Form 4 were effected pursuant to a Rule 10b5-1 trading plan entered into by the Reporting Person.

F6 · derivative.exercise_date: This option, originally for 800,000 shares, of which 51,000 shares have been exercised, vested as to one-fourth of the shares on February 2, 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.

Read SEC document
May 01, 2020 Filed May 5, 2020 16:51 UTC
CRUTCHFIELD BRADFORDChief Commercial Officer
SaleClass A Common Stock 300 $79.23 $23,769.00
Disclosure

SEC source: 0001209191-20-027168 · doc4.xml · nonDerivative · entry 5

CRUTCHFIELD BRADFORD · CIK 0001246406 · Chief Commercial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

F1 · kind: The option exercise and sales reported on this Form 4 were effected pursuant to a Rule 10b5-1 trading plan entered into by the Reporting Person.

F5 · price: This transaction was executed in multiple trades at prices ranging from $79.20 to $79.29. The price reported above reflects the weighted average sale price. The Reporting Person undertakes to provide upon request by the staff of the Securities and Exchange Commission, the Issuer, or a security holder of the Issuer, full information regarding the number of shares sold at each separate sale price.

Read SEC document
May 01, 2020 Filed May 5, 2020 16:51 UTC
CRUTCHFIELD BRADFORDChief Commercial Officer
SaleClass A Common Stock 4,200 $78.66 $330,370.32
Disclosure

SEC source: 0001209191-20-027168 · doc4.xml · nonDerivative · entry 4

CRUTCHFIELD BRADFORD · CIK 0001246406 · Chief Commercial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 300

F1 · kind: The option exercise and sales reported on this Form 4 were effected pursuant to a Rule 10b5-1 trading plan entered into by the Reporting Person.

F4 · price: This transaction was executed in multiple trades at prices ranging from $78.16 to $79.12. The price reported above reflects the weighted average sale price. The Reporting Person undertakes to provide upon request by the staff of the Securities and Exchange Commission, the Issuer, or a security holder of the Issuer, full information regarding the number of shares sold at each separate sale price.

Read SEC document
May 01, 2020 Filed May 5, 2020 16:51 UTC
CRUTCHFIELD BRADFORDChief Commercial Officer
SaleClass A Common Stock 3,695 $77.57 $286,633.71
Disclosure

SEC source: 0001209191-20-027168 · doc4.xml · nonDerivative · entry 3

CRUTCHFIELD BRADFORD · CIK 0001246406 · Chief Commercial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 4,500

F1 · kind: The option exercise and sales reported on this Form 4 were effected pursuant to a Rule 10b5-1 trading plan entered into by the Reporting Person.

F3 · price: This transaction was executed in multiple trades at prices ranging from $77.13 to $78.11. The price reported above reflects the weighted average sale price. The Reporting Person undertakes to provide upon request by the staff of the Securities and Exchange Commission, the Issuer, or a security holder of the Issuer, full information regarding the number of shares sold at each separate sale price.

Read SEC document
May 01, 2020 Filed May 5, 2020 16:51 UTC
CRUTCHFIELD BRADFORDChief Commercial Officer
SaleClass A Common Stock 8,805 $76.63 $674,696.33
Disclosure

SEC source: 0001209191-20-027168 · doc4.xml · nonDerivative · entry 2

CRUTCHFIELD BRADFORD · CIK 0001246406 · Chief Commercial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 8,195

F1 · kind: The option exercise and sales reported on this Form 4 were effected pursuant to a Rule 10b5-1 trading plan entered into by the Reporting Person.

F2 · price: This transaction was executed in multiple trades at prices ranging from $76.13 to $77.09. The price reported above reflects the weighted average sale price. The Reporting Person undertakes to provide upon request by the staff of the Securities and Exchange Commission, the Issuer, or a security holder of the Issuer, full information regarding the number of shares sold at each separate sale price.

Read SEC document
May 01, 2020 Filed May 5, 2020 16:51 UTC
CRUTCHFIELD BRADFORDChief Commercial Officer
Exercise / conversionClass A Common Stock 17,000 $1.16 $19,720.00
Disclosure

SEC source: 0001209191-20-027168 · doc4.xml · nonDerivative · entry 1

CRUTCHFIELD BRADFORD · CIK 0001246406 · Chief Commercial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 17,000

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · kind: The option exercise and sales reported on this Form 4 were effected pursuant to a Rule 10b5-1 trading plan entered into by the Reporting Person.

Read SEC document
May 01, 2020 Filed May 5, 2020 20:54 UTC
Saxonov SergeDirector · Chief Executive Officer · 10% owner
Exercise / conversionStock Option (right to buy) · Derivative 9,167 $0.00 Strike: $5.04 $0.00
Disclosure

SEC source: 0001209191-20-027175 · doc4.xml · derivative · entry 7

Saxonov Serge · CIK 0001786720 · Director · Chief Executive Officer · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 173,125

Underlying: Class A Common Stock · 9,167 shares

Expires 2028-11-02

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · kind: The option exercises and sales reported on this Form 4 were effected pursuant to a Rule 10b5-1 trading plan entered into by the Reporting Person.

F6 · derivative.exercise_date: This option, originally for 250,000 shares, of which 76,875 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.

Read SEC document
May 01, 2020 Filed May 5, 2020 20:54 UTC
Saxonov SergeDirector · Chief Executive Officer · 10% owner
Exercise / conversionStock Option (right to buy) · Derivative 833 $0.00 Strike: $1.20 $0.00
Disclosure

SEC source: 0001209191-20-027175 · doc4.xml · derivative · entry 6

Saxonov Serge · CIK 0001786720 · Director · Chief Executive Officer · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 131,250

Underlying: Class A Common Stock · 833 shares

Expires 2027-10-18

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · kind: The option exercises and sales reported on this Form 4 were effected pursuant to a Rule 10b5-1 trading plan entered into by the Reporting Person.

F5 · derivative.exercise_date: This option, originally for 300,000 shares, of which 168,750 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.

Read SEC document
May 01, 2020 Filed May 5, 2020 20:54 UTC
Saxonov SergeDirector · Chief Executive Officer · 10% owner
SaleClass A Common Stock 2,502 $78.72 $196,963.44
Disclosure

SEC source: 0001209191-20-027175 · doc4.xml · nonDerivative · entry 5

Saxonov Serge · CIK 0001786720 · Director · Chief Executive Officer · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 954,681

F1 · kind: The option exercises and sales reported on this Form 4 were effected pursuant to a Rule 10b5-1 trading plan entered into by the Reporting Person.

F4 · price: This transaction was executed in multiple trades at prices ranging from $78.39 to $79.20. The price reported above reflects the weighted average sale price. The Reporting Person undertakes to provide upon request by the staff of the Securities and Exchange Commission, the Issuer, or a security holder of the Issuer, full information regarding the number of shares sold at each separate sale price.

Read SEC document
May 01, 2020 Filed May 5, 2020 20:54 UTC
Saxonov SergeDirector · Chief Executive Officer · 10% owner
SaleClass A Common Stock 2,197 $77.66 $170,609.57
Disclosure

SEC source: 0001209191-20-027175 · doc4.xml · nonDerivative · entry 4

Saxonov Serge · CIK 0001786720 · Director · Chief Executive Officer · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 957,183

F1 · kind: The option exercises and sales reported on this Form 4 were effected pursuant to a Rule 10b5-1 trading plan entered into by the Reporting Person.

F3 · price: This transaction was executed in multiple trades at prices ranging from $77.23 to $78.17. The price reported above reflects the weighted average sale price. The Reporting Person undertakes to provide upon request by the staff of the Securities and Exchange Commission, the Issuer, or a security holder of the Issuer, full information regarding the number of shares sold at each separate sale price.

Read SEC document
May 01, 2020 Filed May 5, 2020 20:54 UTC
Saxonov SergeDirector · Chief Executive Officer · 10% owner
SaleClass A Common Stock 5,301 $76.65 $406,339.14
Disclosure

SEC source: 0001209191-20-027175 · doc4.xml · nonDerivative · entry 3

Saxonov Serge · CIK 0001786720 · Director · Chief Executive Officer · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 959,380

F1 · kind: The option exercises and sales reported on this Form 4 were effected pursuant to a Rule 10b5-1 trading plan entered into by the Reporting Person.

F2 · price: This transaction was executed in multiple trades at prices ranging from $76.19 to $77.17. The price reported above reflects the weighted average sale price. The Reporting Person undertakes to provide upon request by the staff of the Securities and Exchange Commission, the Issuer, or a security holder of the Issuer, full information regarding the number of shares sold at each separate sale price.

Read SEC document
May 01, 2020 Filed May 5, 2020 20:54 UTC
Saxonov SergeDirector · Chief Executive Officer · 10% owner
Exercise / conversionClass A Common Stock 9,167 $5.04 $46,201.68
Disclosure

SEC source: 0001209191-20-027175 · doc4.xml · nonDerivative · entry 2

Saxonov Serge · CIK 0001786720 · Director · Chief Executive Officer · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 964,681

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · kind: The option exercises and sales reported on this Form 4 were effected pursuant to a Rule 10b5-1 trading plan entered into by the Reporting Person.

Read SEC document
May 01, 2020 Filed May 5, 2020 20:54 UTC
Saxonov SergeDirector · Chief Executive Officer · 10% owner
Exercise / conversionClass A Common Stock 833 $1.20 $999.60
Disclosure

SEC source: 0001209191-20-027175 · doc4.xml · nonDerivative · entry 1

Saxonov Serge · CIK 0001786720 · Director · Chief Executive Officer · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 955,514

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · kind: The option exercises and sales reported on this Form 4 were effected pursuant to a Rule 10b5-1 trading plan entered into by the Reporting Person.

Read SEC document
May 01, 2020 Filed May 5, 2020 20:53 UTC
McAnear Justin J.Chief Financial Officer
Exercise / conversionStock Option (right to buy) · Derivative 10,000 $0.00 Strike: $5.04 $0.00
Disclosure

SEC source: 0001209191-20-027173 · doc4.xml · derivative · entry 5

McAnear Justin J. · CIK 0001786386 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 570,000

Underlying: Class A Common Stock · 10,000 shares

Expires 2028-11-02

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · kind: The option exercise and sales reported on this Form 4 were effected pursuant to a Rule 10b5-1 trading plan entered into by the Reporting Person.

F5 · derivative.exercise_date: This option, originally for 600,000 shares, of which 30,000 shares have been exercised, vested as to one-fourth of the shares on October 8, 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.

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May 01, 2020 Filed May 5, 2020 20:53 UTC
McAnear Justin J.Chief Financial Officer
SaleClass A Common Stock 2,600 $78.70 $204,631.44
Disclosure

SEC source: 0001209191-20-027173 · doc4.xml · nonDerivative · entry 4

McAnear Justin J. · CIK 0001786386 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

F1 · kind: The option exercise and sales reported on this Form 4 were effected pursuant to a Rule 10b5-1 trading plan entered into by the Reporting Person.

F4 · price: This transaction was executed in multiple trades at prices ranging from $78.28 to $79.12. The price reported above reflects the weighted average sale price. The Reporting Person undertakes to provide upon request by the staff of the Securities and Exchange Commission, the Issuer, or a security holder of the Issuer, full information regarding the number of shares sold at each separate sale price.

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May 01, 2020 Filed May 5, 2020 20:53 UTC
McAnear Justin J.Chief Financial Officer
SaleClass A Common Stock 2,010 $77.66 $156,097.20
Disclosure

SEC source: 0001209191-20-027173 · doc4.xml · nonDerivative · entry 3

McAnear Justin J. · CIK 0001786386 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 2,600

F1 · kind: The option exercise and sales reported on this Form 4 were effected pursuant to a Rule 10b5-1 trading plan entered into by the Reporting Person.

F3 · price: This transaction was executed in multiple trades at prices ranging from $77.24 to $78.13. The price reported above reflects the weighted average sale price. The Reporting Person undertakes to provide upon request by the staff of the Securities and Exchange Commission, the Issuer, or a security holder of the Issuer, full information regarding the number of shares sold at each separate sale price.

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May 01, 2020 Filed May 5, 2020 20:53 UTC
McAnear Justin J.Chief Financial Officer
SaleClass A Common Stock 5,390 $76.64 $413,109.54
Disclosure

SEC source: 0001209191-20-027173 · doc4.xml · nonDerivative · entry 2

McAnear Justin J. · CIK 0001786386 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 4,610

F1 · kind: The option exercise and sales reported on this Form 4 were effected pursuant to a Rule 10b5-1 trading plan entered into by the Reporting Person.

F2 · price: This transaction was executed in multiple trades at prices ranging from $76.16 to $77.11. The price reported above reflects the weighted average sale price. The Reporting Person undertakes to provide upon request by the staff of the Securities and Exchange Commission, the Issuer, or a security holder of the Issuer, full information regarding the number of shares sold at each separate sale price.

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May 01, 2020 Filed May 5, 2020 20:53 UTC
McAnear Justin J.Chief Financial Officer
Exercise / conversionClass A Common Stock 10,000 $5.04 $50,400.00
Disclosure

SEC source: 0001209191-20-027173 · doc4.xml · nonDerivative · entry 1

McAnear Justin J. · CIK 0001786386 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 10,000

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · kind: The option exercise and sales reported on this Form 4 were effected pursuant to a Rule 10b5-1 trading plan entered into by the Reporting Person.

Read SEC document
May 01, 2020 Filed May 5, 2020 20:52 UTC
Hindson Benjamin J.Director · See Remarks · 10% owner
Exercise / conversionStock Option (right to buy) · Derivative 33,750 $0.00 Strike: $0.88 $0.00
Disclosure

SEC source: 0001209191-20-027170 · doc4.xml · derivative · entry 6

Hindson Benjamin J. · CIK 0001786391 · Director · See Remarks · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 281,250

Underlying: Class A Common Stock · 33,750 shares

Expires 2025-10-27

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · kind: The option exercise and sales reported on this Form 4 were effected pursuant to a Rule 10b5-1 trading plan entered into by the Reporting Person.

F6 · derivative.exercise_date: All of the shares subject to the option are fully vested and exercisable as of the date hereof.

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May 01, 2020 Filed May 5, 2020 20:52 UTC
Hindson Benjamin J.Director · See Remarks · 10% owner
SaleClass A Common Stock 1,120 $79.20 $88,704.78
Disclosure

SEC source: 0001209191-20-027170 · doc4.xml · nonDerivative · entry 5

Hindson Benjamin J. · CIK 0001786391 · Director · See Remarks · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 67,500

F1 · kind: The option exercise and sales reported on this Form 4 were effected pursuant to a Rule 10b5-1 trading plan entered into by the Reporting Person.

F5 · price: This transaction was executed in multiple trades at prices ranging from $79.09 to $79.45. The price reported above reflects the weighted average sale price. The Reporting Person undertakes to provide upon request by the staff of the Securities and Exchange Commission, the Issuer, or a security holder of the Issuer, full information regarding the number of shares sold at each separate sale price.

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May 01, 2020 Filed May 5, 2020 20:52 UTC
Hindson Benjamin J.Director · See Remarks · 10% owner
SaleClass A Common Stock 8,116 $78.59 $637,822.64
Disclosure

SEC source: 0001209191-20-027170 · doc4.xml · nonDerivative · entry 4

Hindson Benjamin J. · CIK 0001786391 · Director · See Remarks · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 68,620

F1 · kind: The option exercise and sales reported on this Form 4 were effected pursuant to a Rule 10b5-1 trading plan entered into by the Reporting Person.

F4 · price: This transaction was executed in multiple trades at prices ranging from $78.06 to $79.05. The price reported above reflects the weighted average sale price. The Reporting Person undertakes to provide upon request by the staff of the Securities and Exchange Commission, the Issuer, or a security holder of the Issuer, full information regarding the number of shares sold at each separate sale price.

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May 01, 2020 Filed May 5, 2020 20:52 UTC
Hindson Benjamin J.Director · See Remarks · 10% owner
SaleClass A Common Stock 7,394 $77.53 $573,241.29
Disclosure

SEC source: 0001209191-20-027170 · doc4.xml · nonDerivative · entry 3

Hindson Benjamin J. · CIK 0001786391 · Director · See Remarks · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 76,736

F1 · kind: The option exercise and sales reported on this Form 4 were effected pursuant to a Rule 10b5-1 trading plan entered into by the Reporting Person.

F3 · price: This transaction was executed in multiple trades at prices ranging from $77.065 to $78.05. The price reported above reflects the weighted average sale price. The Reporting Person undertakes to provide upon request by the staff of the Securities and Exchange Commission, the Issuer, or a security holder of the Issuer, full information regarding the number of shares sold at each separate sale price.

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May 01, 2020 Filed May 5, 2020 20:52 UTC
Hindson Benjamin J.Director · See Remarks · 10% owner
SaleClass A Common Stock 17,120 $76.62 $1,311,718.99
Disclosure

SEC source: 0001209191-20-027170 · doc4.xml · nonDerivative · entry 2

Hindson Benjamin J. · CIK 0001786391 · Director · See Remarks · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 84,130

F1 · kind: The option exercise and sales reported on this Form 4 were effected pursuant to a Rule 10b5-1 trading plan entered into by the Reporting Person.

F2 · price: This transaction was executed in multiple trades at prices ranging from $76.06 to $77.03. The price reported above reflects the weighted average sale price. The Reporting Person undertakes to provide upon request by the staff of the Securities and Exchange Commission, the Issuer, or a security holder of the Issuer, full information regarding the number of shares sold at each separate sale price.

Read SEC document
May 01, 2020 Filed May 5, 2020 20:52 UTC
Hindson Benjamin J.Director · See Remarks · 10% owner
Exercise / conversionClass A Common Stock 33,750 $0.88 $29,700.00
Disclosure

SEC source: 0001209191-20-027170 · doc4.xml · nonDerivative · entry 1

Hindson Benjamin J. · CIK 0001786391 · Director · See Remarks · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 101,250

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · kind: The option exercise and sales reported on this Form 4 were effected pursuant to a Rule 10b5-1 trading plan entered into by the Reporting Person.

Read SEC document

Value uses the disclosed total when available, otherwise shares × reported transaction price. It is not an estimate of exercise cash cost or investment performance.