SEC FORM 4 SEC Form 4
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*
Khadder Nicholas

(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)
08/20/2019
4. If Amendment, Date of Original Filed (Month/Day/Year)
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
Common Stock 08/20/2019 M 675 A $0 38,736(1) D
Common Stock 08/20/2019 M 1,975 A $0 40,711 D
Common Stock 08/20/2019 M 2,251 A $0 42,962 D
Common Stock 08/20/2019 F 2,432 D $6.04 40,530 D
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
Restricted Stock Units (2) 08/20/2019 M 675 (3) (3) Common Stock 675 $0 2,250 D
Restricted Stock Units (2) 08/20/2019 M 1,975 (4) (4) Common Stock 1,975 $0 11,192 D
Restricted Stock Units (2) 08/20/2019 M 2,251 (5) (5) Common Stock 2,251 $0 24,761 D
Explanation of Responses:
1. Includes 768 shares purchased on May 31, 2019 under the Company's 2017 Employee Stock Purchase Plan.
2. Each Restricted Stock Unit represents the contingent right to receive one share of FLDM common stock.
3. On August 9, 2016, the Reporting Person was granted 10,800 Restricted Stock Units vesting as to 14/48th of the total number of shares on August 20, 2017, and as to 1/16th of the total number of shares each quarter thereafter.
4. On February 13, 2017, the Reporting Person was granted 31,600 Restricted Stock Units vesting as to 1/12th of the total number of shares on May 20, 2017, and as to 1/16th of the total number of shares each quarter thereafter.
5. On June 11, 2018, the Reporting Person was granted 36,016 Restricted Stock Units vesting as to 1/16th of the total number of shares on August 20, 2018, and as to 1/16th of the total number of shares each quarter thereafter.
Remarks:
Senior Vice President, General Counsel, and Secretary
/s/ Nicholas Khadder 08/22/2019
** 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.