Form 4 LEVIN JOHN A For: Jan 31 Filed by: FLUIDIGM CORP
FORM 4 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934 or Section 30(h) of the Investment Company Act of 1940 |
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Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b). |
1. Name and Address of Reporting Person
*
(Street)
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2. Issuer Name
and
Ticker or Trading Symbol
FLUIDIGM CORP [ FLDM ] |
5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
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3. Date of Earliest Transaction
(Month/Day/Year) 01/31/2018 | ||||||||||||||||||||||||||
4. If Amendment, Date of Original Filed
(Month/Day/Year) |
6. Individual or Joint/Group Filing (Check
Applicable Line)
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Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned | ||||||||||
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1. Title of Security (Instr. 3) | 2. Transaction Date (Month/Day/Year) | 2A. Deemed Execution Date, if any (Month/Day/Year) | 3. Transaction Code (Instr. 8) | 4. Securities Acquired (A) or Disposed Of (D) (Instr. 3, 4 and 5) | 5. Amount of Securities Beneficially Owned Following Reported Transaction(s) (Instr. 3 and 4) | 6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4) | 7. Nature of Indirect Beneficial Ownership (Instr. 4) | |||
Code | V | Amount | (A) or (D) | Price | ||||||
Common Stock (1) (2) | 01/31/2018 | P | 136,850 | A | $ 6.177 (9) | 10,582,732 | I | By: Managed Accounts of Levin Capital Strategies, L.P. (3) (4) | ||
Common Stock (1) (2) | 01/31/2018 | P | 8,175 | A | $ 6.2694 (10) | 10,590,907 | I | By: Managed Accounts of Levin Capital Strategies, L.P. (3) (4) | ||
Common Stock (1) (2) | 02/01/2018 | P | 7,866 | A | $ 6.1152 (11) | 10,598,773 | I | By: Managed Accounts of Levin Capital Strategies, L.P. (3) (4) | ||
Common Stock (1) (2) | 1,275,129 | I | By: Transamerica Large Cap Value Fund (5) | |||||||
Common Stock (1) (2) | 82,884 | I | By: Levin Capital Trilogy Master Fund, Ltd. (6) | |||||||
Common Stock (1) (2) | 56,820 | I | By: Levcap Alternative Fund, L.P. (7) | |||||||
Common Stock (1) (2) | 19,818 | I | By: Safinia Partners, L.P. (8) |
Table II - Derivative Securities Acquired, Disposed of, or Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities) | |||||||||||||||
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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 Securities Underlying Derivative Security (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: Direct (D) or Indirect (I) (Instr. 4) | 11. Nature of Indirect Beneficial Ownership (Instr. 4) | ||||
Code | V | (A) | (D) | Date Exercisable | Expiration Date | Title | Amount or Number of Shares |
Levin Capital Strategies, L.P.; By: /s/ John A. Levin, Chief Executive Officer | 02/02/2018 | |
** Signature of Reporting Person | Date | |
Levin Capital Strategies GP, LLC; By: John A. Levin 2005 GRAT Separation Trust; By: /s/ Elisabeth Levin, Trustee | 02/02/2018 | |
** Signature of Reporting Person | Date | |
Levin Capital Trilogy Master Fund, Ltd.; By: LCS, LLC; By: /s/ John A. Levin, Managing Member | 02/02/2018 | |
** Signature of Reporting Person | Date | |
LCS, LLC; By: /s/ John A. Levin, Managing Member | 02/02/2018 | |
** Signature of Reporting Person | Date | |
Levcap Alternative Fund, L.P.; By: LCS Event Partners, LLC; By: /s/ John A. Levin, Managing Member | 02/02/2018 | |
** Signature of Reporting Person | Date | |
LCS Event Partners, LLC; By: /s/ John A. Levin, Managing Member | 02/02/2018 | |
** Signature of Reporting Person | Date | |
Safinia Partners, L.P.; By: LCS L/S, LLC; By: /s/ John A. Levin, Managing Member | 02/02/2018 | |
** Signature of Reporting Person | Date | |
LCS L/S, LLC; By: /s/ John A. Levin, Managing Member | 02/02/2018 | |
** Signature of Reporting Person | Date | |
/s/ John A. Levin | 02/02/2018 | |
** Signature of Reporting Person | Date | |
Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. | ||
* 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). | ||
Note: File three copies of this Form, one of which must be manually signed. If space is insufficient, see Instruction 6 for procedure. | ||
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 Number. |