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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 | ||||||||
Employee Stock Option (Right to Buy) | $ 1.82 | 03/12/2012 | M | 3,000 | (3) | 07/15/2013 | Common | 3,000 | $ 0 | 15,412 | D | ||||
Employee Stock Option (Right to Buy) (4) | $ 4.09 | 11/17/2009 | A | 5,780 (5) | (4) | 11/17/2019 | Common | 5,780 (5) | $ 0 | 5,780 (5) | D |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
Smith William Maxwell FLUIDIGM CORPORATION 7000 SHORELINE COURT SUITE 100 SOUTH SAN FRANCISCO, CA 94080 |
EVP, Legal Affairs & GC |
/s/ William M. Smith | 03/14/2012 | |
**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) | The sales reported by Mr. Smith were effected pursuant to a Rule 10b5-1 trading plan adopted on September 6, 2011. |
(2) | The "Amount" and "Price" reported in this Column 4 reflect the aggregate number and weighted-average price, respectively, of shares sold. These shares were sold in multiple transactions at prices ranging from $15.61 to $15.80, inclusive. The reporting person undertakes to provide to the issuer, any security holder of the issuer, or the SEC staff, upon request, full information regarding the number of shares sold at each separate price within the range set forth herein |
(3) | The Option fully vested on April 1, 2007. |
(4) | The Option is not a new grant but is listed herein to correct the vesting schedule previously reported on a Form 3 filed by the reporting person on February 9, 2011. The filed Form 3 reported that 70% of the shares subject to the Option vested on December 31, 2009, 25% of the remaining 30% of the shares subject to the Option vested on April 1, 2010 and 1/48th of the remaining unvested shares subject to the Option shall vest each month thereafter. However, such Form 3 should have reported that 61% of the shares subject to the Option vested on December 31, 2009, 25% of the remaining 39% of the shares subject to the Option vested on April 1, 2010 and 1/48th of the remaining 39% of the shares subject to the Option shall vest each month thereafter such that all shares subject to the Option shall be fully vested on April 1, 2013. |
(5) | Reflects a 1-for-1.73 reverse stock split of the Issuer's outstanding shares effected February 3, 2011. |