Filing Details
- Accession Number:
- 0001209191-14-021620
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2014-03-18 19:06:04
- Reporting Period:
- 2014-03-14
- Filing Date:
- 2014-03-18
- Accepted Time:
- 2014-03-18 19:06:04
- 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 | 2014-03-17 | 1,431 | $2.42 | 1,431 | No | 4 | M | Direct | |
| Common Stock | Acquisiton | 2014-03-17 | 1,569 | $3.39 | 3,000 | No | 4 | M | Direct | |
| Common Stock | Disposition | 2014-03-17 | 3,000 | $47.76 | 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 | 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) | Acquisiton | 2014-03-14 | 14,000 | $0.00 | 14,000 | $47.55 |
| Common Stock | Restricted Stock Units | Acquisiton | 2014-03-14 | 5,600 | $0.00 | 5,600 | $0.00 |
| Common Stock | Employee Stock Option (Right to Buy) | Disposition | 2014-03-17 | 1,431 | $0.00 | 1,431 | $2.42 |
| Common Stock | Employee Stock Option (Right to Buy) | Disposition | 2014-03-17 | 1,569 | $0.00 | 1,569 | $3.39 |
| Remaning Holdings | Exercise Date | Expiration Date | Equity Swap Involved | Transaction Form Type | Transaction Code | Nature of Ownership |
|---|---|---|---|---|---|---|
| 14,000 | 2024-03-14 | No | 4 | A | Direct | |
| 5,600 | No | 4 | A | Direct | ||
| 0 | 2014-04-18 | No | 4 | M | Direct | |
| 14,946 | 2015-01-17 | No | 4 | M | Direct |
Footnotes
- The sales reported by Mr. Smith were effected pursuant to a Rule 10b5-1 trading plan adopted on November 27, 2013.
- 1/48th of the shares subject to the Option vest monthly beginning January 1, 2014.
- Each Restricted Stock Unit represents the contingent right to receive one share of FLDM common stock upon vesting of the unit.
- 4/48th of the total number of shares underlying the Restricted Stock Units granted will vest on May 20, 2014, and 3/48th of the total number of shares underlying the Restricted Stock Units granted will vest every three months thereafter until fully vested, subject to recipient's continued employment through the applicable vest date.
- The shares subject to the Option fully vested on January 1, 2008.
- The shares subject to the Option fully vested on January 18, 2009.
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