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UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OF SECURITIES Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934, Section 17(a) of the Public Utility Holding Company Act of 1935 or Section 30(h) of the Investment Company Act of 1940 |
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Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. | |||
Persons who respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB control number. | SEC 1474 (9-02) |
1. Title of Derivative Security (Instr. 3) |
2. Conversion or Exercise Price of Derivative Security | 3. Transaction Date (Month/Day/Year) | 3A. Deemed Execution Date, if any (Month/Day/Year) | 4. Transaction Code (Instr. 8) |
5. Number of Derivative Securities Acquired (A) or Disposed of (D) (Instr. 3, 4, and 5) |
6. Date Exercisable and Expiration Date (Month/Day/Year) |
7. Title and Amount of Underlying Securities (Instr. 3 and 4) |
8. Price of Derivative Security (Instr. 5) |
9. Number of Derivative Securities Beneficially Owned Following Reported Transaction(s) (Instr. 4) |
10. Ownership Form of Derivative Security: Direct (D) or Indirect (I) (Instr. 4) |
11. Nature of Indirect Beneficial Ownership (Instr. 4) |
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Code | V | (A) | (D) | Date Exercisable | Expiration Date | Title | Amount or Number of Shares | ||||||||
Restricted Stock Units | (1) | 05/30/2018 | M | 5,000 | (4) | (4) | Common Stock | 5,000 | $ 0 | 0 | D | ||||
Restricted Stock Units | (1) | 05/30/2018 | M | 3,000 | (5) | (5) | Common Stock | 3,000 | $ 0 | 0 | D | ||||
Stock Option (Right to Buy) | $ 5.57 | 05/31/2018 | A | 10,600 | (6) | 05/31/2028 | Common Stock | 10,600 | $ 0 | 10,600 | D |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
Burbach Gerhard F C/O FLUIDIGM CORPORATION 7000 SHORELINE COURT, SUITE 100 SOUTH SAN FRANCISCO, CA 94080 |
X |
/s/ Gerhard F. Burbach by Nicholas Khadder, Attorney-in-Fact | 06/01/2018 | |
**Signature of Reporting Person | Date |
* | If the form is filed by more than one reporting person, see Instruction 4(b)(v). |
** | Intentional misstatements or omissions of facts constitute Federal Criminal Violations. See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a). |
(1) | Each Restricted Stock Unit represents the contingent right to receive one share of FLDM common stock upon vesting of the unit. |
(2) | All shares underlying the Restricted Stock Units will fully vest on the earlier to occur of: (i) one day prior to the date of the next annual meeting of the stockholders of the Company; or (ii) May 31, 2019, subject to continued service as a director through the vesting date.The Reporting Person has deferred settlement of the Restricted Stock Units to occur within the thirty (30) day period immediately following the earlier to occur of: (a) the Reporting Person's termination of service with the Issuer; or (b) a Change of Control (as defined in the Company's 2011 Equity Incentive Plan). |
(3) | Includes an aggregate of 30,215 vested Restricted Stock Units for which the Reporting Person has deferred settlement as described above. |
(4) | On August 1, 2017, the Reporting Person was granted Restricted Stock Units, vesting fully on the earlier to occur of: (i) one day prior to the date of the next annual meeting of the stockholders of the Company; or (ii) August 1, 2018, subject to continued service as a director through the vesting date. |
(5) | On September 13, 2017, the Reporting Person was granted Restricted Stock Units, vesting fully on the earlier to occur of: (i) one day prior to the date of the next annual meeting of the stockholders of the Company; or (ii) August 1, 2018, subject to continued service as a director through the vesting date. |
(6) | 1/12th of the shares subject to the Option will vest monthly over twelve months, subject to continued service as a director, such that the Option will be fully vested on May 31, 2019. |