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
  1. The sales reported by Mr. Smith were effected pursuant to a Rule 10b5-1 trading plan adopted on November 28, 2012.
  2. 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.
  3. The shares subject to the Option fully vested on May 1, 2008.
  4. 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.
  5. 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.
  6. 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.