Filing Details
- Accession Number:
- 0001209191-13-055371
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2013-12-04 19:00:56
- Reporting Period:
- 2013-12-02
- Filing Date:
- 2013-12-04
- Accepted Time:
- 2013-12-04 19:00:56
- SEC Url:
- Form 4 Filing
Issuer
Cik | Name | Symbol | Sector (SIC) | IRS No |
---|---|---|---|---|
1162194 | Fluidigm Corp | FLDM | Laboratory Analytical Instruments (3826) | 770513190 |
Insiders
Cik | Name | Reported Address | Insider Title | Director | Officer | Large Shareholder | Other |
---|---|---|---|---|---|---|---|
1435931 | Maxwell William Smith | Fluidigm Corporation 7000 Shoreline Court, Suite 100 South San Francisco CA 94080 | Evp, Legal Affairs & Gc | No | Yes | No | No |
Reported Non-Derivative Transactions
Sec. Name | Acquisiton - Disposition | Date | Amount | Price | Remaning Holdings | Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
---|---|---|---|---|---|---|---|---|---|---|
Common Stock | Acquisiton | 2013-12-02 | 1,637 | $4.45 | 1,637 | No | 4 | M | Direct | |
Common Stock | Acquisiton | 2013-12-02 | 3,336 | $8.37 | 4,973 | No | 4 | M | Direct | |
Common Stock | Acquisiton | 2013-12-02 | 2,000 | $14.60 | 6,973 | No | 4 | M | Direct | |
Common Stock | Acquisiton | 2013-12-02 | 1,250 | $15.49 | 8,223 | No | 4 | M | Direct | |
Common Stock | Disposition | 2013-12-02 | 8,223 | $32.10 | 0 | No | 4 | S | Direct |
Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
---|---|---|---|---|
No | 4 | M | Direct | |
No | 4 | M | Direct | |
No | 4 | M | Direct | |
No | 4 | M | Direct | |
No | 4 | S | Direct |
Reported Derivative Transactions
Sec. Name | Sec. Type | Acquisiton - Disposition | Date | Amount | Price | Amount - 2 | Price - 2 |
---|---|---|---|---|---|---|---|
Commonstock | Employee Stock Option (Right to Buy) | Disposition | 2013-12-02 | 1,637 | $0.00 | 1,637 | $4.45 |
Commonstock | Employee Stock Option (Right to Buy) | Disposition | 2013-12-02 | 3,336 | $0.00 | 3,336 | $8.37 |
Commonstock | Employee Stock Option (Right to Buy) | Disposition | 2013-12-02 | 2,000 | $0.00 | 2,000 | $14.60 |
Commonstock | Employee Stock Option (Right to Buy) | Disposition | 2013-12-02 | 1,250 | $0.00 | 1,250 | $15.49 |
Remaning Holdings | Exercise Date | Expiration Date | Equity Swap Involved | Transaction Form Type | Transaction Code | Nature of Ownership |
---|---|---|---|---|---|---|
0 | 2018-04-23 | No | 4 | M | Direct | |
2,444 | 2021-01-04 | No | 4 | M | Direct | |
34,000 | 2021-05-17 | No | 4 | M | Direct | |
37,250 | 2022-02-17 | No | 4 | M | Direct |
Footnotes
- The sales reported by Mr. Smith were effected pursuant to a Rule 10b5-1 trading plan adopted on November 28, 2012.
- The "Amount" and "Price" reported in this Column 4 reflect the aggregate number and weighted-average price, respectively, of shares sold. These shares were sold in multiple transactions at prices ranging from $31.935 to $32.20, inclusive. The reporting person undertakes to provide to the issuer, any security holder of the issuer, or the SEC staff, upon request, full information regarding the number of shares sold at each separate price within the range set forth herein.
- The shares subject to the Option fully vested on May 1, 2008.
- 70% of the shares subject to the Option vested on March 10, 2011, 25% of the remaining 30% of the shares subject to the Option vested on April 1, 2011 and 1/48 of the remaining unvested shares subject to the Option vest each month thereafter, such that the Option will be fully vested on April 1, 2014.
- 1/48th of the shares subject to the Option vested on June 18, 2011 and 1//8th of the shares subject to the Option vest each month thereafter, such that the Option will be fully vested on May 18, 2015.
- 1/48 of the shares subject to the Option vested on February 17, 2012 and 1/48 of the shares subject to the Option vested on March 1, 2012 and each month thereafter, such that the Option will be fully vested on January 1, 2016.