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UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OF SECURITIES Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934, Section 17(a) of the Public Utility Holding Company Act of 1935 or Section 30(h) of the Investment Company Act of 1940 |
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Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. | |||
Persons who respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB control number. | SEC 1474 (9-02) |
1. Title of Derivative Security (Instr. 3) |
2. Conversion or Exercise Price of Derivative Security | 3. Transaction Date (Month/Day/Year) | 3A. Deemed Execution Date, if any (Month/Day/Year) | 4. Transaction Code (Instr. 8) |
5. Number of Derivative Securities Acquired (A) or Disposed of (D) (Instr. 3, 4, and 5) |
6. Date Exercisable and Expiration Date (Month/Day/Year) |
7. Title and Amount of Underlying Securities (Instr. 3 and 4) |
8. Price of Derivative Security (Instr. 5) |
9. Number of Derivative Securities Beneficially Owned Following Reported Transaction(s) (Instr. 4) |
10. Ownership Form of Derivative Security: Direct (D) or Indirect (I) (Instr. 4) |
11. Nature of Indirect Beneficial Ownership (Instr. 4) |
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Code | V | (A) | (D) | Date Exercisable | Expiration Date | Title | Amount or Number of Shares | ||||||||
Employee Stock Option (Right to Buy) | $ 14.6 | 09/20/2017 | D | 834 | (1) | 05/17/2021 | Common Stock | 834 | (2) | 0 | D | ||||
Employee Stock Option (Right to Buy) | $ 5.13 | 09/20/2017 | A | 242 | (3) | 09/20/2027 | Common Stock | 242 | (2) | 242 | D | ||||
Employee Stock Option (Right to Buy) | $ 15.49 | 09/20/2017 | D | 17,859 | (4) | 02/16/2022 | Common Stock | 17,859 | (5) | 0 | D | ||||
Employee Stock Option (Right to Buy) | $ 5.13 | 09/20/2017 | A | 4,920 | (3) | (6) | Common Stock | 4,920 | (5) | 4,920 | D | ||||
Employee Stock Option (Right to Buy) | $ 16.73 | 09/20/2017 | D | 66,000 | (7) | 02/15/2023 | Common Stock | 66,000 | (8) | 0 | D | ||||
Employee Stock Option (Right to Buy) | $ 5.13 | 09/20/2017 | A | 17,838 | (3) | (6) | Common Stock | 17,838 | (8) | 17,838 | D | ||||
Employee Stock Option (Right to Buy) | $ 47.55 | 09/20/2017 | D | 14,000 | (9) | 03/14/2024 | Common Stock | 14,000 | (10) | 0 | D | ||||
Employee Stock Option (Right to Buy) | $ 5.13 | 09/20/2017 | A | 1,541 | (3) | (6) | Common Stock | 1,541 | (10) | 1,541 | D | ||||
Employee Stock Option (Right to Buy) | $ 41.14 | 09/20/2017 | D | 12,000 | (11) | 03/12/2025 | Common Stock | 12,000 | (12) | 0 | D | ||||
Employee Stock Option (Right to Buy) | $ 5.13 | 09/20/2017 | A | 2,073 | (3) | (6) | Common Stock | 2,073 | (12) | 2,073 | D | ||||
Employee Stock Option (Right to Buy) | $ 7.1 | 09/20/2017 | D | 13,500 | (13) | 03/04/2026 | Common Stock | 13,500 | (14) | 0 | D | ||||
Employee Stock Option (Right to Buy) | $ 5.13 | 09/20/2017 | A | 8,941 | (3) | (6) | Common Stock | 8,941 | (14) | 8,941 | D | ||||
Employee Stock Option (Right to Buy) | $ 6.16 | 09/20/2017 | D | 48,400 | (15) | 02/13/2027 | Common Stock | 48,400 | (16) | 0 | D | ||||
Employee Stock Option (Right to Buy) | $ 5.13 | 09/20/2017 | A | 34,572 | (3) | (6) | Common Stock | 34,572 | (16) | 34,572 | D |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
Yow Mai Chan C/O FLUIDIGM CORPORATION 7000 SHORELINE COURT, SUITE 100 SOUTH SAN FRANCISCO, CA 94080 |
See Remarks |
/s/ Nicholas Khadder, Attorney-in-fact | 09/22/2017 | |
**Signature of Reporting Person | Date |
* | If the form is filed by more than one reporting person, see Instruction 4(b)(v). |
** | Intentional misstatements or omissions of facts constitute Federal Criminal Violations. See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a). |
(1) | The shares subject to the Option fully vested on May 18, 2015. |
(2) | On September 20, 2017, the Issuer cancelled, pursuant to the Issuer's option exchange program, an Option for 834 shares of FLDM common stock granted to the Reporting Person on May 18, 2011. In exchange, the Reporting Person received a replacement Option, for 242 shares, having an exercise price of $5.13 per share. |
(3) | 1/12th of the total number of shares underlying the Option will vest on February 20, 2018, and 1/12th of the total number of shares underlying the Option granted will vest every three months thereafter until fully vested, subject to the Reporting Person's continued status as a Service Provider as defined in the Company's 2011 Equity Incentive Plan through the applicable vest date. |
(4) | The shares subject to the Option fully vested on January 1, 2016. |
(5) | On September 20, 2017, the Issuer cancelled, pursuant to the Issuer's option exchange program, an Option for 17,859 shares of FLDM common stock granted to the Reporting Person on February 17, 2012. In exchange, the Reporting Person received a replacement Option, for 4,920 shares, having an exercise price of $5.13 per share. |
(6) | The Option expiration date is September 20, 2027. |
(7) | The shares subject to the Option fully vested on January 1, 2017. |
(8) | On September 20, 2017, the Issuer cancelled, pursuant to the Issuer's option exchange program, an Option for 66,000 shares of FLDM common stock granted to the Reporting Person on February 15, 2013. In exchange, the Reporting Person received a replacement Option, for 17,838 shares, having an exercise price of $5.13 per share. |
(9) | The Option provided for vesting in forty-eight equal monthly installments beginning on January 1, 2014. |
(10) | On September 20, 2017, the Issuer cancelled, pursuant to the Issuer's option exchange program, an Option for 14,000 shares of FLDM common stock granted to the Reporting Person on March 14, 2014. In exchange, the Reporting Person received a replacement Option, for 1,541 shares, having an exercise price of $5.13 per share. |
(11) | The Option provided for vesting of 2/48th of the total number of shares subject to the Option on March 12, 2015 and forty-six equal monthly installments beginning on April 1, 2015. |
(12) | On September 20, 2017, the Issuer cancelled, pursuant to the Issuer's option exchange program, an Option for 12,000 shares of FLDM common stock granted to the Reporting Person on March 12, 2015. In exchange, the Reporting Person received a replacement Option, for 2,073 shares, having an exercise price of $5.13 per share. |
(13) | The Option provided for vesting in forty-eight equal monthly installments beginning on February 1, 2016. |
(14) | On September 20, 2017, the Issuer cancelled, pursuant to the Issuer's option exchange program, an Option for 13,500 shares of FLDM common stock granted to the Reporting Person on March 4, 2016. In exchange, the Reporting Person received a replacement Option, for 8,941 shares, having an exercise price of $5.13 per share. |
(15) | The Option provided for vesting in forty-eight equal monthly installments beginning on February 1, 2017. |
(16) | On September 20, 2017, the Issuer cancelled, pursuant to the Issuer's option exchange program, an Option for 48,400 shares of FLDM common stock granted to the Reporting Person on February 13, 2017. In exchange, the Reporting Person received a replacement Option, for 34,572 shares, having an exercise price of $5.13 per share. |
Remarks: Executive Vice President, Worldwide Manufacturing of Fluidigm Singapore Pte. Ltd. |