Filing Details
- Accession Number:
- 0001181431-12-017353
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2012-03-14 18:14:21
- Reporting Period:
- 2012-03-12
- Filing Date:
- 2012-03-14
- Accepted Time:
- 2012-03-14 18:14:21
- 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 | 2012-03-12 | 3,000 | $1.82 | 52,545 | No | 4 | M | Direct | |
| Common Stock | Disposition | 2012-03-12 | 3,000 | $15.72 | 49,545 | No | 4 | S | Direct |
| Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|
| 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 | Employee Stock Option (Right to Buy) | Disposition | 2012-03-12 | 3,000 | $0.00 | 3,000 | $1.82 |
| Common | Employee Stock Option (Right to Buy) | Acquisiton | 2009-11-17 | 5,780 | $0.00 | 5,780 | $4.09 |
| Remaning Holdings | Exercise Date | Expiration Date | Equity Swap Involved | Transaction Form Type | Transaction Code | Nature of Ownership |
|---|---|---|---|---|---|---|
| 15,412 | 2013-07-15 | No | 4 | M | Direct | |
| 5,780 | 2019-11-17 | No | 4 | A | Direct |
Footnotes
- The sales reported by Mr. Smith were effected pursuant to a Rule 10b5-1 trading plan adopted on September 6, 2011.
- 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 $15.61 to $15.80, 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 Option fully vested on April 1, 2007.
- The Option is not a new grant but is listed herein to correct the vesting schedule previously reported on a Form 3 filed by the reporting person on February 9, 2011. The filed Form 3 reported that 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. However, such Form 3 should have reported that 61% of the shares subject to the Option vested on December 31, 2009, 25% of the remaining 39% of the shares subject to the Option vested on April 1, 2010 and 1/48th of the remaining 39% of the shares subject to the Option shall vest each month thereafter such that all shares subject to the Option shall be fully vested on April 1, 2013.
- Reflects a 1-for-1.73 reverse stock split of the Issuer's outstanding shares effected February 3, 2011.
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