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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) | $ 25.23 | 09/20/2017 | D | 31,000 | (1) | 05/21/2025 | Common Stock | 31,000 | (2) | 0 | D | ||||
Employee Stock Option (Right to Buy) | $ 5.13 | 09/20/2017 | A | 7,127 | (3) | 09/20/2027 | Common Stock | 7,127 | (2) | 7,127 | D | ||||
Employee Stock Option (Right to Buy) | $ 7.1 | 09/20/2017 | D | 13,500 | (4) | 03/04/2026 | Common Stock | 13,500 | (5) | 0 | D | ||||
Employee Stock Option (Right to Buy) | $ 5.13 | 09/20/2017 | A | 8,941 | (3) | (6) | Common Stock | 8,941 | (5) | 8,941 | D | ||||
Employee Stock Option (Right to Buy) | $ 6.16 | 09/20/2017 | D | 51,375 | (7) | 02/13/2027 | Common Stock | 51,375 | (8) | 0 | D | ||||
Employee Stock Option (Right to Buy) | $ 5.13 | 09/20/2017 | A | 36,697 | (3) | (6) | Common Stock | 36,697 | (8) | 36,697 | D | ||||
Employee Stock Option (Right to Buy) | $ 7.1 | 09/20/2017 | D | 6,750 | (4) | 03/04/2026 | Common Stock | 6,750 | (9) | 0 | D | ||||
Employee Stock Option (Right to Buy) | $ 5.13 | 09/20/2017 | A | 4,471 | (3) | (6) | Common Stock | 4,471 | (9) | 4,471 | D |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
McPhail Steven C/O FLUIDIGM CORPORATION 7000 SHORELINE COURT, SUITE 100 SOUTH SAN FRANCISCO, CA 94080 |
Chief Commercial Officer |
/s/ Steven McPhail by Nicholas Khadder, Attorney-in-Fact | 04/03/2018 | |
**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 Option provided for vesting of 12/48th of the total number of shares subject to the Option on May 7, 2016 and thirty-six equal monthly installments beginning on June 7, 2017. |
(2) | On September 20, 2017, the Issuer cancelled, pursuant to the Issuer's option exchange program, an Option for 31,000 shares of FLDM common stock granted to the Reporting Person on May 21, 2015. In exchange, the Reporting Person received a replacement Option, for 7,127 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 Option provided for vesting in forty-eight equal monthly installments beginning on February 1, 2016. |
(5) | 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. |
(6) | The Option expiration date is September 20, 2027. |
(7) | The Option provided for vesting in forty-eight equal monthly installments beginning on February 1, 2017. |
(8) | On September 20, 2017, the Issuer cancelled, pursuant to the Issuer's option exchange program, an Option for 51,375 shares of FLDM common stock granted to the Reporting Person on February 13, 2017. In exchange, the Reporting Person received a replacement Option, for 36,697 shares, having an exercise price of $5.13 per share. |
(9) | On September 20, 2017, the Issuer cancelled, pursuant to the Issuer's option exchange program, an Option for 6,750 shares of FLDM common stock granted to the Reporting Person on March 4, 2016. In exchange, the Reporting Person received a replacement Option, for 4,471 shares, having an exercise price of $5.13 per share. |