Filing Details
- Accession Number:
- 0001162194-15-000144
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2015-10-05 16:20:49
- Reporting Period:
- 2015-10-01
- Filing Date:
- 2015-10-05
- Accepted Time:
- 2015-10-05 16:20:49
- 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 |
|---|---|---|---|---|---|---|---|
| 1435768 | Vincent Gajus Worthington | Fluidigm Corporation 7000 Shoreline Court, Suite 100 South San Francisco CA 94080 | President & Ceo | Yes | 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 | 2015-10-01 | 3,729 | $4.08 | 10,544 | No | 4 | M | Direct | |
| Common Stock | Acquisiton | 2015-10-01 | 2,271 | $4.08 | 12,815 | No | 4 | M | Direct | |
| Common Stock | Disposition | 2015-10-01 | 6,000 | $8.05 | 6,815 | No | 4 | S | Direct |
| Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|
| 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 |
|---|---|---|---|---|---|---|---|
| Common Stock | Employee Stock Option (Right to Buy) | Disposition | 2015-10-01 | 3,729 | $0.00 | 3,729 | $4.08 |
| Common Stock | Employee Stock Option (Right to Buy) | Disposition | 2015-10-01 | 2,271 | $0.00 | 2,271 | $4.08 |
| Remaning Holdings | Exercise Date | Expiration Date | Equity Swap Involved | Transaction Form Type | Transaction Code | Nature of Ownership |
|---|---|---|---|---|---|---|
| 0 | 2019-11-17 | No | 4 | M | Direct | |
| 10,528 | 2019-11-17 | No | 4 | M | Direct |
Reported Non-Derivative Holdings
| Sec. Name | Remaning Holdings | Nature of Ownership | Explanation |
|---|---|---|---|
| Common Stock | 33,029 | Indirect | See Footnote |
Footnotes
- Shares held directly by the Worthington Family Trust dated March 6, 2007, a trust for the benefit of the Reporting Person and the Reporting Person's spouse, for which the Reporting Person and the Reporting Person's spouse serve as trustees.
- The sales reported by Mr. Worthington were effected pursuant to a Rule 10b5-1 trading plan adopted on August 29, 2014.
- 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 $8.00 to $8.27, 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 November 17, 2013.
- The shares subject to the Option fully vested on February 1, 2012.
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