UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549INITIAL STATEMENT OF 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. | SEC 1473 (7-02) | ||
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. |
1. Title of Derivative Security (Instr. 4) |
2. Date Exercisable and Expiration Date (Month/Day/Year) |
3. Title and Amount of Securities Underlying Derivative Security (Instr. 4) |
4. Conversion or Exercise Price of Derivative Security | 5. Ownership Form of Derivative Security: Direct (D) or Indirect (I) (Instr. 5) |
6. Nature of Indirect Beneficial Ownership (Instr. 5) |
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Date Exercisable | Expiration Date | Title | Amount or Number of Shares | ||||
Employee Stock Option (Right to Buy) | Â (1) | 08/26/2020 | Common Stock | 934 | $ 4.4461 | D | Â |
Employee Stock Option (Right to Buy) | Â (1) | 01/04/2021 | Common Stock | 4,850 | $ 8.3732 | D | Â |
Employee Stock Option (Right to Buy) | Â (1) | 01/04/2021 | Common Stock | 270 | $ 8.3732 | D | Â |
Employee Stock Option (Right to Buy) | Â (2) | 03/05/2022 | Common Stock | 20,000 | $ 14.55 | D | Â |
Employee Stock Option (Right to Buy) | Â (3) | 02/15/2023 | Common Stock | 55,000 | $ 16.73 | D | Â |
Employee Stock Option (Right to Buy) | Â (4) | 03/14/2024 | Common Stock | 14,000 | $ 47.55 | D | Â |
Employee Stock Option (Right to Buy) | Â (4) | 03/14/2024 | Common Stock | 12,000 | $ 47.55 | D | Â |
Employee Stock Option (Right to Buy) | Â (5) | 03/12/2025 | Common Stock | 12,000 | $ 41.14 | D | Â |
Restricted Stock Units | Â (6) | Â (7) | Common Stock | 3,734 | $ 0 | D | Â |
Restricted Stock Units | Â (8) | Â (7) | Common Stock | 3,200 | $ 0 | D | Â |
Restricted Stock Units | Â (9) | Â (7) | Common Stock | 4,401 | $ 0 | D | Â |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
UNGER MARC FLUIDIGM CORPORATION 7000 SHORELINE COURT SUITE 100 SOUTH SAN FRANCISCO, CA 94080 |
 |  |  See Remarks |  |
Valerie Barnett, attorney-in-fact | 08/17/2015 | |
**Signature of Reporting Person | Date |
* | If the form is filed by more than one reporting person, see Instruction 5(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 Option is fully vested. |
(2) | 1/48th of the shares subject to the Option vested on January 1, 2012 and 1/48th of the shares subject to the Option vested on February 1, 2012 and each month thereafter, such that the Option will be fully vested on January 1, 2016. |
(3) | 1/48th of the shares subject to the Option vested on January 1, 2013 and 1/48th of the shares subject to the Option vested on February 1, 2013 and each month thereafter, such that the Option will be fully vested on January 1, 2017. |
(4) | 1/48th of the shares subject to the Option vested on January 1, 2014 and 1/48th of the shares subject to the Option vested on February 1, 2014 and each month thereafter, such that the Option will be fully vested on January 1, 2018. |
(5) | 2/48th of the shares subject to the Option vested on March 12, 2015 and 1/48th of the shares subject to the Option vest on April 1, 2015 and each month thereafter, such that the Option will be fully vested on January 1, 2019. |
(6) | On March 14, 2014, the Reporting Person was originally granted 5,600 Restricted Stock Units of which 4/48th of the total number of shares underlying the Restricted Stock Units granted vested on May 20, 2014, and 3/48th of the total number of shares underlying the Restricted Stock Units granted 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. |
(7) | Each Restricted Stock Unit represents the contingent right to receive one share of FLDM common stock upon vesting of the unit. |
(8) | On March 14, 2014, the Reporting Person was originally granted 4,800 Restricted Stock Units of which 4/48th of the total number of shares underlying the Restricted Stock Units granted vested on May 20, 2014, and 3/48th of the total number of shares underlying the Restricted Stock Units granted 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. |
(9) | On March 12, 2015, the Reporting Person was originally granted 4,800 Restricted Stock Units of which 4/48th of the total number of shares underlying the Restricted Stock Units granted vested on May 20, 2015, and 3/48th of the total number of shares underlying the Restricted Stock Units granted 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. |
 Remarks: Sr. VP, R&D & Single-Cell Biology Marketing Exhibit List Exhibit 24 - Power of Attorney |