Statement of Changes in Beneficial Ownership (4)
June 25 2020 - 4:01PM
Edgar (US Regulatory)
FORM 4
[ ]
Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b).
UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OF SECURITIES
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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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1. Name and Address of Reporting Person
*
Burbach Gerhard F |
2. Issuer Name and Ticker or Trading Symbol
FLUIDIGM CORP
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FLDM
]
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5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
__X__ Director _____ 10% Owner _____ Officer (give title below) _____ Other (specify below)
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(Last)
(First)
(Middle)
C/O FLUIDIGM CORPORATION, 2 TOWER PLACE, STE 2000 |
3. Date of Earliest Transaction
(MM/DD/YYYY)
6/23/2020 |
(Street)
SOUTH SAN FRANCISCO, CA 94080
(City)
(State)
(Zip)
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4. If Amendment, Date Original Filed
(MM/DD/YYYY)
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6. Individual or Joint/Group Filing
(Check Applicable Line)
_X
_ Form filed by One Reporting Person
___ Form filed by More than One Reporting Person
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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)
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2. Trans. Date
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2A. Deemed Execution Date, if any
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3. Trans. Code (Instr. 8)
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4. Securities Acquired (A) or Disposed of (D) (Instr. 3, 4 and 5)
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5. Amount of Securities Beneficially Owned Following Reported Transaction(s) (Instr. 3 and 4)
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6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4)
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7. Nature of Indirect Beneficial Ownership (Instr. 4)
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Code
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V
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Amount
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(A) or (D)
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Price
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Common Stock | 6/23/2020 | | A | | 13369 (1) | A | $0 | 55571 (2) | D | |
Table II - Derivative Securities Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities)
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1. Title of Derivate Security (Instr. 3) | 2. Conversion or Exercise Price of Derivative Security | 3. Trans. Date | 3A. Deemed Execution Date, if any | 4. Trans. 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 | 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 of Derivative Security: 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 |
Stock Option (Right to Buy) | $3.74 | 6/23/2020 | | A | | 20993 | | (3) | 6/23/2030 | Common Stock | 20993.0 | $0 | 20993 | D | |
Explanation of Responses: |
(1) | The Restricted Stock Units vest in full on the earlier to occur of June 23, 2021 and one day prior to the date of the Company's next annual meeting of stockholders. |
(2) | Includes 34,202 vested Restricted Stock Units with respect to which the Reporting Person has deferred settlement. Vested shares will be delivered to the Reporting Person within thirty days following the earlier to occur of a change of control and the Reporting Person's termination of service. |
(3) | The Option becomes exercisable in twelve equal monthly increments beginning on July 23, 2020. |
Reporting Owners
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Reporting Owner Name / Address | Relationships |
Director | 10% Owner | Officer | Other |
Burbach Gerhard F C/O FLUIDIGM CORPORATION 2 TOWER PLACE, STE 2000 SOUTH SAN FRANCISCO, CA 94080 | X |
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Signatures
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/s/ Gerhard F. Burbach by Nicholas Khadder, Attorney-in-Fact | | 6/24/2020 |
**Signature of Reporting Person | Date |
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