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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) | 11/20/2018 | M | 775 | (2) | (2) | Common Stock | 775 | $ 0 | 1,550 | D | ||||
Restricted Stock Units | (1) | 11/20/2018 | M | 337 | (3) | (3) | Common Stock | 337 | $ 0 | 1,576 | D | ||||
Restricted Stock Units | (1) | 11/20/2018 | M | 1,284 | (4) | (4) | Common Stock | 1,284 | $ 0 | 11,132 | D | ||||
Restricted Stock Units | (1) | 11/20/2018 | M | 1,324 | (5) | (5) | Common Stock | 1,324 | $ 0 | 18,538 | D |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
McPhail Steven C/O FLUIDIGM CORPORATION 7000 SHORELINE COURT, SUITE 100 SOUTH SAN FRANCISCO, CA 94080 |
Chief Commercial Officer |
/s/ Steven McPhail by Nicholas Khadder, Attorney-in-Fact | 11/21/2018 | |
**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) | On May 21, 2015, the Reporting Person was granted 12,400 Restricted Stock Units of which 12/48th of the total number of shares underlying the Restricted Stock Units granted vested on May 20, 2016, and 3/48th of the total number of shares underlying the Restricted Stock Units granted have vested and will vest every three months thereafter until fully vested, subject to recipient's continued status as a Service Provider (as defined in the Company's 2011 Equity Incentive Plan) through the applicable vest date. |
(3) | On March 4, 2016, the Reporting Person was granted 5,400 Restricted Stock Units of which 4/48th of the total number of shares underlying the Restricted Stock Units granted vested on May 20, 2016, and 3/48th of the total number of shares underlying the Restricted Stock Units granted have vested and will vest every three months thereafter until fully vested, subject to recipient's continued status as a Service Provider (as defined in the Company's 2011 Equity Incentive Plan) through the applicable vest date. |
(4) | On February 13, 2017, the Reporting Person was granted 20,550 Restricted Stock Units of which 4/48th of the total number of shares underlying the Restricted Stock Units granted vested on May 20, 2017, and 3/48th of the total number of shares underlying the Restricted Stock Units granted have vested and will vest every three months thereafter until fully vested, subject to recipient's continued status as a Service Provider (as defined in the Company's 2011 Equity Incentive Plan) through the applicable vest date. |
(5) | On June 11, 2018, the Reporting Person was granted 21,186 Restricted Stock Units of which 3/48th of the total number of shares underlying the Restricted Stock Units granted vested on August 20, 2018, and 3/48th of the total number of shares underlying the Restricted Stock Units granted have vested and will vest every three months thereafter until fully vested, subject to recipient's continued status as a Service Provider (as defined in the Company's 2011 Equity Incentive Plan) through the applicable vest date. |