Filing Details
- Accession Number:
- 0001181431-11-050135
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2011-09-21 18:47:37
- Reporting Period:
- 2011-09-19
- Filing Date:
- 2011-09-21
- Accepted Time:
- 2011-09-21 18:47:37
- 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 |
|---|---|---|---|---|---|---|---|
| 1435767 | Chan Mai Yow | Fluidigm Corporation 7000 Shoreline Court Suite 100 South San Francisco CA 94080 | Vp, Ww Mfg & Md-Singapore | 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 | 2011-09-19 | 5,093 | $4.08 | 5,093 | No | 4 | M | Direct | |
| Common Stock | Disposition | 2011-09-19 | 5,093 | $14.42 | 0 | No | 4 | S | Direct | |
| Common Stock | Acquisiton | 2011-09-19 | 3,468 | $4.08 | 3,468 | No | 4 | M | Direct | |
| Common Stock | Disposition | 2011-09-19 | 3,468 | $14.42 | 0 | No | 4 | S | Direct | |
| Common Stock | Acquisiton | 2011-09-19 | 4,772 | $3.39 | 4,772 | No | 4 | M | Direct | |
| Common Stock | Disposition | 2011-09-19 | 4,772 | $14.42 | 0 | No | 4 | S | Direct | |
| Common Stock | Acquisiton | 2011-09-19 | 6,667 | $4.45 | 6,667 | No | 4 | M | Direct | |
| Common Stock | Disposition | 2011-09-19 | 6,667 | $14.42 | 0 | No | 4 | S | Direct | |
| Common Stock | Acquisiton | 2011-09-20 | 20,000 | $3.39 | 20,000 | No | 4 | M | Direct | |
| Common Stock | Disposition | 2011-09-20 | 20,000 | $14.62 | 0 | No | 4 | S | Direct |
| Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|
| No | 4 | M | Direct | |
| No | 4 | S | Direct | |
| No | 4 | M | Direct | |
| No | 4 | S | Direct | |
| No | 4 | M | Direct | |
| No | 4 | S | Direct | |
| No | 4 | M | Direct | |
| No | 4 | S | 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 | 2011-09-19 | 5,093 | $0.00 | 5,093 | $4.08 |
| Common Stock | Employee Stock Option (Right to Buy) | Disposition | 2011-09-19 | 3,468 | $0.00 | 3,468 | $4.08 |
| Common Stock | Employee Stock Option (Right to Buy) | Disposition | 2011-09-19 | 4,772 | $0.00 | 4,772 | $3.39 |
| Common Stock | Employee Stock Option (Right to Buy) | Disposition | 2011-09-19 | 6,667 | $0.00 | 6,667 | $4.45 |
| Common Stock | Employee Stock Option (Right to Buy) | Disposition | 2011-09-20 | 20,000 | $0.00 | 20,000 | $3.39 |
| Remaning Holdings | Exercise Date | Expiration Date | Equity Swap Involved | Transaction Form Type | Transaction Code | Nature of Ownership |
|---|---|---|---|---|---|---|
| 687 | 2019-11-17 | No | 4 | M | Direct | |
| 2,312 | 2019-11-17 | No | 4 | M | Direct | |
| 20,000 | 2015-08-02 | No | 4 | M | Direct | |
| 1,590 | 2016-09-26 | No | 4 | M | Direct | |
| 0 | 2015-08-02 | No | 4 | M | Direct |
Footnotes
- The sales reported by Ms. Yow were effected pursuant to a Rule 10b5-1 trading plan adopted on September 13, 2011.
- The "Amount" and "Price" reported in this Column 4 reflect the aggregate number and weighted-average price, respectively, of shares acquired. These shares were purchased in multiple transactions at prices ranging from $14.12 to $14.59, 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 purchased at each separate price within the ranges set forth herein.
- 70% of the shares subject to the Option vested on December 31, 2009, 25% of the remaining 30% of the shares subject to the Option vested on April 1, 2010 and 1/48th of the remaining unvested shares subject to the Option shall vest each month thereafter.
- 60% of the shares subject to the Option vested on December 31, 2009 and the remaining shares shall vest on December 31, 2012.
- 100% of the shares subject to the Option vested on June 8, 2009.
- 100% of the shares subject to the Option vested on December 27, 2010.
- The "Amount" and "Price" reported in this Column 4 reflect the aggregate number and weighted-average price, respectively, of shares acquired. These shares were purchased in multiple transactions at prices ranging from $14.27 to $14.99, 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 purchased at each separate price within the ranges set forth herein.
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