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10x Genomics, Inc.

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0001770787
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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
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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
September 16, 2019 Filed Sep 18, 2019 06:08 UTC ConversionClass B Common Stock · Derivative 2,476,963 $0.00 $0.00
Disclosure

SEC source: 0000899243-19-023773 · doc4.xml · derivative · entry 6

Paladin Capital Management, LLC · CIK 0001788497 · 10% owner

Paladin Holdings III, L.P. · CIK 0001788495 · 10% owner

Paladin Holdings III (Cayman Islands), L.P. · CIK 0001788494 · 10% owner

Paladin Cyber Holdings, L.P. · CIK 0001788496 · 10% owner

Paladin Capital Group III, LLC · CIK 0001788499 · 10% owner

Paladin Homeland Security Corp III, Ltd. · CIK 0001788523 · 10% owner

Paladin Capital Cyber Group, LLC · CIK 0001788486 · 10% owner

Steed Michael Robert · CIK 0001788487 · 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: 7,017,217

Underlying: Class A Common Stock · 2,476,963 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.

F2 · derivative.exercise_price: 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.

F5 · shares: 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.

F2 · derivative.exercise_date: 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.

F2 · derivative.expiration_date: 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.

F5 · derivative.underlying_shares: 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.

F8 · ownership.nature: 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 · ownership.nature: (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.

Read SEC document
September 16, 2019 Filed Sep 18, 2019 06:08 UTC ConversionSeries B Convertible Preferred Stock · Derivative 2,476,963 $0.00 $0.00
Disclosure

SEC source: 0000899243-19-023773 · doc4.xml · derivative · entry 5

Paladin Capital Management, LLC · CIK 0001788497 · 10% owner

Paladin Holdings III, L.P. · CIK 0001788495 · 10% owner

Paladin Holdings III (Cayman Islands), L.P. · CIK 0001788494 · 10% owner

Paladin Cyber Holdings, L.P. · CIK 0001788496 · 10% owner

Paladin Capital Group III, LLC · CIK 0001788499 · 10% owner

Paladin Homeland Security Corp III, Ltd. · CIK 0001788523 · 10% owner

Paladin Capital Cyber Group, LLC · CIK 0001788486 · 10% owner

Steed Michael Robert · CIK 0001788487 · 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 B Common Stock · 2,476,963 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: 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.

F5 · shares: 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.

F1 · derivative.exercise_date: 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.

F1 · derivative.expiration_date: 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 · derivative.underlying: 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.

F5 · derivative.underlying_shares: 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.

F8 · ownership.nature: 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 · ownership.nature: (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.

Read SEC document
September 16, 2019 Filed Sep 18, 2019 06:08 UTC ConversionClass B Common Stock · Derivative 3,749,767 $0.00 $0.00
Disclosure

SEC source: 0000899243-19-023773 · doc4.xml · derivative · entry 4

Paladin Capital Management, LLC · CIK 0001788497 · 10% owner

Paladin Holdings III, L.P. · CIK 0001788495 · 10% owner

Paladin Holdings III (Cayman Islands), L.P. · CIK 0001788494 · 10% owner

Paladin Cyber Holdings, L.P. · CIK 0001788496 · 10% owner

Paladin Capital Group III, LLC · CIK 0001788499 · 10% owner

Paladin Homeland Security Corp III, Ltd. · CIK 0001788523 · 10% owner

Paladin Capital Cyber Group, LLC · CIK 0001788486 · 10% owner

Steed Michael Robert · CIK 0001788487 · 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: 4,540,254

Underlying: Class A Common Stock · 3,749,767 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.

F2 · derivative.exercise_price: 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.

F4 · shares: 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.

F2 · derivative.exercise_date: 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.

F2 · derivative.expiration_date: 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.

F4 · derivative.underlying_shares: 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.

F8 · ownership.nature: 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 · ownership.nature: (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.

Read SEC document
September 16, 2019 Filed Sep 18, 2019 06:08 UTC ConversionSeries A-2 Convertible Preferred Stock · Derivative 3,749,767 $0.00 $0.00
Disclosure

SEC source: 0000899243-19-023773 · doc4.xml · derivative · entry 3

Paladin Capital Management, LLC · CIK 0001788497 · 10% owner

Paladin Holdings III, L.P. · CIK 0001788495 · 10% owner

Paladin Holdings III (Cayman Islands), L.P. · CIK 0001788494 · 10% owner

Paladin Cyber Holdings, L.P. · CIK 0001788496 · 10% owner

Paladin Capital Group III, LLC · CIK 0001788499 · 10% owner

Paladin Homeland Security Corp III, Ltd. · CIK 0001788523 · 10% owner

Paladin Capital Cyber Group, LLC · CIK 0001788486 · 10% owner

Steed Michael Robert · CIK 0001788487 · 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 B Common Stock · 3,749,767 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: 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.

F4 · shares: 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.

F1 · derivative.exercise_date: 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.

F1 · derivative.expiration_date: 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 · derivative.underlying: 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.

F4 · derivative.underlying_shares: 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.

F8 · ownership.nature: 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 · ownership.nature: (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.

Read SEC document
September 16, 2019 Filed Sep 18, 2019 06:08 UTC ConversionClass B Common Stock · Derivative 790,487 $0.00 $0.00
Disclosure

SEC source: 0000899243-19-023773 · doc4.xml · derivative · entry 2

Paladin Capital Management, LLC · CIK 0001788497 · 10% owner

Paladin Holdings III, L.P. · CIK 0001788495 · 10% owner

Paladin Holdings III (Cayman Islands), L.P. · CIK 0001788494 · 10% owner

Paladin Cyber Holdings, L.P. · CIK 0001788496 · 10% owner

Paladin Capital Group III, LLC · CIK 0001788499 · 10% owner

Paladin Homeland Security Corp III, Ltd. · CIK 0001788523 · 10% owner

Paladin Capital Cyber Group, LLC · CIK 0001788486 · 10% owner

Steed Michael Robert · CIK 0001788487 · 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: 790,487

Underlying: Class A Common Stock · 790,487 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.

F2 · derivative.exercise_price: 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 · shares: 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.

F2 · derivative.exercise_date: 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.

F2 · derivative.expiration_date: 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 · derivative.underlying_shares: 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.

F8 · ownership.nature: 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 · ownership.nature: (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.

Read SEC document
September 16, 2019 Filed Sep 18, 2019 06:08 UTC ConversionSeries A-1 Convertible Preferred Stock · Derivative 790,487 $0.00 $0.00
Disclosure

SEC source: 0000899243-19-023773 · doc4.xml · derivative · entry 1

Paladin Capital Management, LLC · CIK 0001788497 · 10% owner

Paladin Holdings III, L.P. · CIK 0001788495 · 10% owner

Paladin Holdings III (Cayman Islands), L.P. · CIK 0001788494 · 10% owner

Paladin Cyber Holdings, L.P. · CIK 0001788496 · 10% owner

Paladin Capital Group III, LLC · CIK 0001788499 · 10% owner

Paladin Homeland Security Corp III, Ltd. · CIK 0001788523 · 10% owner

Paladin Capital Cyber Group, LLC · CIK 0001788486 · 10% owner

Steed Michael Robert · CIK 0001788487 · 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 B Common Stock · 790,487 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: 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.

F3 · shares: 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.

F1 · derivative.exercise_date: 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.

F1 · derivative.expiration_date: 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 · derivative.underlying: 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 · derivative.underlying_shares: 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.

F8 · ownership.nature: 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 · ownership.nature: (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.

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September 16, 2019 Filed Mar 18, 2020 18:17 UTC ConversionSeries D Convertible Preferred Stock · Derivative 1,044,932 $0.00 $0.00
Disclosure

SEC source: 0000899243-20-008928 · doc4.xml · derivative · entry 4

SOFTBANK VISION FUND (AIV M2) L.P. · CIK 0001805808 · 10% owner

SB INVESTMENT ADVISERS (UK) LTD · CIK 0001731509 · 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 B Common Stock · 1,044,932 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.

F2 · derivative.exercise_price: The Series C Convertible Preferred Stock and the Series D Convertible Preferred Stock (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 · derivative.exercise_date: The Series C Convertible Preferred Stock and the Series D Convertible Preferred Stock (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 · derivative.expiration_date: The Series C Convertible Preferred Stock and the Series D Convertible Preferred Stock (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.

F1 · derivative.underlying: 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 · ownership.nature: Represents securities held directly by SoftBank Vision Fund (AIV M2) L.P. ("SVF"). SB Investment Advisers (UK) Limited ("SBIA UK") has been appointed as alternative investment fund manager ("AIFM") and is exclusively responsible for managing SVF in accordance with the Alternative Investment Fund Managers Directive and is authorized and regulated by the UK Financial Conduct Authority accordingly. As AIFM of SVF, SBIA UK is exclusively responsible for portfolio management and risk management. SBIA UK disclaims beneficial ownership of such shares except to the extent of its pecuniary interest therein, and the inclusion of these securities in this report shall not be deemed an admission that any reporting person is the beneficial owner of such shares for purposes of the Securities Exchange Act of 1934 or for any other purpose.

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September 16, 2019 Filed Mar 18, 2020 18:17 UTC ConversionSeries C Convertible Preferred Stock · Derivative 2,791,300 $0.00 $0.00
Disclosure

SEC source: 0000899243-20-008928 · doc4.xml · derivative · entry 3

SOFTBANK VISION FUND (AIV M2) L.P. · CIK 0001805808 · 10% owner

SB INVESTMENT ADVISERS (UK) LTD · CIK 0001731509 · 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 B Common Stock · 2,791,300 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.

F2 · derivative.exercise_price: The Series C Convertible Preferred Stock and the Series D Convertible Preferred Stock (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 · derivative.exercise_date: The Series C Convertible Preferred Stock and the Series D Convertible Preferred Stock (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 · derivative.expiration_date: The Series C Convertible Preferred Stock and the Series D Convertible Preferred Stock (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.

F1 · derivative.underlying: 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 · ownership.nature: Represents securities held directly by SoftBank Vision Fund (AIV M2) L.P. ("SVF"). SB Investment Advisers (UK) Limited ("SBIA UK") has been appointed as alternative investment fund manager ("AIFM") and is exclusively responsible for managing SVF in accordance with the Alternative Investment Fund Managers Directive and is authorized and regulated by the UK Financial Conduct Authority accordingly. As AIFM of SVF, SBIA UK is exclusively responsible for portfolio management and risk management. SBIA UK disclaims beneficial ownership of such shares except to the extent of its pecuniary interest therein, and the inclusion of these securities in this report shall not be deemed an admission that any reporting person is the beneficial owner of such shares for purposes of the Securities Exchange Act of 1934 or for any other purpose.

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September 16, 2019 Filed Mar 18, 2020 18:17 UTC ConversionClass B Common Stock · Derivative 3,836,232 $0.00 $0.00
Disclosure

SEC source: 0000899243-20-008928 · doc4.xml · derivative · entry 2

SOFTBANK VISION FUND (AIV M2) L.P. · CIK 0001805808 · 10% owner

SB INVESTMENT ADVISERS (UK) LTD · CIK 0001731509 · 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: 3,836,232

Underlying: Class A Common Stock · 3,836,232 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: 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.

F1 · derivative.exercise_date: 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.

F1 · derivative.expiration_date: 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 · ownership.nature: Represents securities held directly by SoftBank Vision Fund (AIV M2) L.P. ("SVF"). SB Investment Advisers (UK) Limited ("SBIA UK") has been appointed as alternative investment fund manager ("AIFM") and is exclusively responsible for managing SVF in accordance with the Alternative Investment Fund Managers Directive and is authorized and regulated by the UK Financial Conduct Authority accordingly. As AIFM of SVF, SBIA UK is exclusively responsible for portfolio management and risk management. SBIA UK disclaims beneficial ownership of such shares except to the extent of its pecuniary interest therein, and the inclusion of these securities in this report shall not be deemed an admission that any reporting person is the beneficial owner of such shares for purposes of the Securities Exchange Act of 1934 or for any other purpose.

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September 12, 2019 Filed Sep 16, 2019 17:26 UTC PurchaseClass A Common Stock 187,500 $39.00 $7,312,500.00
Disclosure

SEC source: 0001209191-19-049680 · 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: 187,500

F1 · kind: FCF I purchased 187,500 shares of Issuer's Class A Common Stock in connection with the Issuer's initial public offering at the offering price of $39.00 per share.

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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September 11, 2019 Filed Sep 12, 2019 15:01 UTC GrantStock Option (right to buy) · Derivative 40,000 $0.00 Strike: $39.00 $0.00
Disclosure

SEC source: 0001239242-19-000004 · edgar.xml · derivative · entry 1

ROBERTS BRYAN E · CIK 0001239242 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 40,000

Underlying: Class A Common Stock · 40,000 shares

Expires 2029-09-11

F1 · derivative.exercise_date: This option, granted pursuant to the Issuer's 2019 Omnibus Incentive Plan, vests as to one thirty-sixth of the shares on October 11, 2019 and each month thereafter, subject to the reporting person continuing as a service provider through each such date.

F2 · ownership.direct: The reporting person is a member of VR Management, LLC (the "Management Company"). Under an agreement between the reporting person and the Management Company, the reporting person is deemed to hold the reported shares for the sole benefit of the Management Company and must exercise the reported shares solely upon the direction of the Management Company, which is entitled to the shares. The Management Company may be deemed the indirect beneficial owner of the reported shares, and the reporting person may be deemed the indirect beneficial owner of the reported shares through his interest in the Management Company. The reporting person disclaims beneficial ownership of the reported shares except to the extent of his pecuniary interest therein.

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September 11, 2019 Filed Sep 12, 2019 15:51 UTC GrantStock Option (right to buy) · Derivative 40,000 $0.00 Strike: $39.00 $0.00
Disclosure

SEC source: 0000899243-19-023419 · doc4.xml · derivative · entry 1

Conley Paul A. · CIK 0001753671 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 40,000

Underlying: Class A Common Stock · 40,000 shares

Expires 2029-09-11

F1 · derivative.exercise_date: This option, granted pursuant to the Issuer's 2019 Omnibus Incentive Plan, vests as to one thirty-sixth of the shares on October 11, 2019 and each month thereafter, subject to the Reporting Person continuing as a service provider through each such date.

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