Upgrade to SI Premium - Free Trial

Form 4/A FLUIDIGM CORP For: Sep 20 Filed by: Yow Mai Chan

April 3, 2018 4:53 PM
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
OMB APPROVAL
OMB Number: 3235-0287
Expires: December 31, 2014
Estimated average burden
hours per response: 0.5
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 *
Yow Mai Chan

(Last) (First) (Middle)
C/O FLUIDIGM CORPORATION
7000 SHORELINE COURT, SUITE 100

(Street)
SOUTH SAN FRANCISCO CA 94080

(City) (State) (Zip)
2. Issuer Name and Ticker or Trading Symbol
FLUIDIGM CORP [ FLDM ]
5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
Director 10% Owner
X Officer (give title below) Other (specify below)
See Remarks
3. Date of Earliest Transaction (Month/Day/Year)
09/20/2017
4. If Amendment, Date of Original Filed (Month/Day/Year)
09/22/2017
6. Individual or Joint/Group Filing (Check Applicable Line)
X Form filed by One Reporting Person
Form filed by More than One Reporting Person
Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
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
Table II - Derivative Securities Acquired, Disposed of, or Beneficially Owned
(e.g., puts, calls, warrants, options, convertible securities)
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
Employee Stock Option (Right to Buy) $ 14.60 09/20/2017 D 834 (1) 05/17/2021 Common Stock 834.00 (2) 0 D
Employee Stock Option (Right to Buy) $ 5.13 09/20/2017 A 242 (3) 09/20/2027 Common Stock 242.00 (2) 242 D
Employee Stock Option (Right to Buy) $ 15.49 09/20/2017 D 17,859 (4) 02/16/2022 Common Stock 17,859.00 (5) 0 D
Employee Stock Option (Right to Buy) $ 5.13 09/20/2017 A 4,920 (3) (6) Common Stock 4,920.00 (5) 4,920 D
Employee Stock Option (Right to Buy) $ 16.73 09/20/2017 D 66,000 (7) 02/15/2023 Common Stock 66,000.00 (8) 0 D
Employee Stock Option (Right to Buy) $ 5.13 09/20/2017 A 17,838 (3) (6) Common Stock 17,838.00 (8) 17,838 D
Employee Stock Option (Right to Buy) $ 47.55 09/20/2017 D 14,000 (9) 03/14/2024 Common Stock 14,000.00 (10) 0 D
Employee Stock Option (Right to Buy) $ 5.13 09/20/2017 A 1,541 (3) (6) Common Stock 1,541.00 (10) 1,541 D
Employee Stock Option (Right to Buy) $ 41.14 09/20/2017 D 12,000 (11) 03/12/2025 Common Stock 12,000.00 (12) 0 D
Employee Stock Option (Right to Buy) $ 5.13 09/20/2017 A 2,073 (3) (6) Common Stock 2,073.00 (12) 2,073 D
Employee Stock Option (Right to Buy) $ 7.10 09/20/2017 D 13,500 (13) 03/04/2026 Common Stock 13,500.00 (14) 0 D
Employee Stock Option (Right to Buy) $ 5.13 09/20/2017 A 8,941 (3) (6) Common Stock 8,941.00 (14) 8,941 D
Employee Stock Option (Right to Buy) $ 6.16 09/20/2017 D 48,400 (15) 02/13/2027 Common Stock 48,400.00 (16) 0 D
Employee Stock Option (Right to Buy) $ 5.13 09/20/2017 A 34,572 (3) (6) Common Stock 34,572.00 (16) 34,572 D
Employee Stock Option (Right to Buy) $ 7.10 09/20/2017 D 6,750 (13) 03/04/2026 Common Stock 6,750.00 (17) 0 D
Employee Stock Option (Right to Buy) $ 5.13 09/20/2017 A 4,471 (3) (6) Common Stock 4,471.00 (17) 4,471 D
Explanation of Responses:
1. The shares subject to the Option fully vested on May 18, 2015.
2. On September 20, 2017, the Issuer cancelled, pursuant to the Issuer's option exchange program, an Option for 834 shares of FLDM common stock granted to the Reporting Person on May 18, 2011. In exchange, the Reporting Person received a replacement Option, for 242 shares, having an exercise price of $5.13 per share.
3. 1/12th of the total number of shares underlying the Option will vest on February 20, 2018, and 1/12th of the total number of shares underlying the Option granted will vest every three months thereafter until fully vested, subject to the Reporting Person's continued status as a Service Provider as defined in the Company's 2011 Equity Incentive Plan through the applicable vest date.
4. The shares subject to the Option fully vested on January 1, 2016.
5. On September 20, 2017, the Issuer cancelled, pursuant to the Issuer's option exchange program, an Option for 17,859 shares of FLDM common stock granted to the Reporting Person on February 17, 2012. In exchange, the Reporting Person received a replacement Option, for 4,920 shares, having an exercise price of $5.13 per share.
6. The Option expiration date is September 20, 2027.
7. The shares subject to the Option fully vested on January 1, 2017.
8. On September 20, 2017, the Issuer cancelled, pursuant to the Issuer's option exchange program, an Option for 66,000 shares of FLDM common stock granted to the Reporting Person on February 15, 2013. In exchange, the Reporting Person received a replacement Option, for 17,838 shares, having an exercise price of $5.13 per share.
9. The Option provided for vesting in forty-eight equal monthly installments beginning on January 1, 2014.
10. On September 20, 2017, the Issuer cancelled, pursuant to the Issuer's option exchange program, an Option for 14,000 shares of FLDM common stock granted to the Reporting Person on March 14, 2014. In exchange, the Reporting Person received a replacement Option, for 1,541 shares, having an exercise price of $5.13 per share.
11. The Option provided for vesting of 2/48th of the total number of shares subject to the Option on March 12, 2015 and forty-six equal monthly installments beginning on April 1, 2015.
12. On September 20, 2017, the Issuer cancelled, pursuant to the Issuer's option exchange program, an Option for 12,000 shares of FLDM common stock granted to the Reporting Person on March 12, 2015. In exchange, the Reporting Person received a replacement Option, for 2,073 shares, having an exercise price of $5.13 per share.
13. The Option provided for vesting in forty-eight equal monthly installments beginning on February 1, 2016.
14. On September 20, 2017, the Issuer cancelled, pursuant to the Issuer's option exchange program, an Option for 13,500 shares of FLDM common stock granted to the Reporting Person on March 4, 2016. In exchange, the Reporting Person received a replacement Option, for 8,941 shares, having an exercise price of $5.13 per share.
15. The Option provided for vesting in forty-eight equal monthly installments beginning on February 1, 2017.
16. On September 20, 2017, the Issuer cancelled, pursuant to the Issuer's option exchange program, an Option for 48,400 shares of FLDM common stock granted to the Reporting Person on February 13, 2017. In exchange, the Reporting Person received a replacement Option, for 34,572 shares, having an exercise price of $5.13 per share.
17. On September 20, 2017, the Issuer cancelled, pursuant to the Issuer's option exchange program, an Option for 6,750 shares of FLDM common stock granted to the Reporting Person on March 4, 2016. In exchange, the Reporting Person received a replacement Option, for 4,471 shares, having an exercise price of $5.13 per share.
Remarks:
Executive Vice President, Worldwide Manufacturing of Fluidigm Singapore Pte. Ltd.
/s/ Mai Chan Yow by Nicholas Khadder, Attorney-in-Fact 04/03/2018
** 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.

Categories

SEC Filings