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 | ||||
Stock Option (Right to Buy) | Â (1) | Â (1) | Common Stock | 2,890 (2) | $ 8.38 | D | Â |
Stock Option (Right to Buy) | Â (3) | Â (3) | Common Stock | 115,606 (2) | $ 4.45 | D | Â |
Stock Option (Right to Buy) | Â (4) | Â (4) | Common Stock | 2,889 (2) | $ 8.38 | D | Â |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
Walder Fredric T FLUIDIGM CORPORATION 7000 SHORELINE COURT SUITE 100 SOUTH SAN FRANCISCO, CA 94080 |
 |  |  Chief Business Officer |  |
/s/ Gajus V. Worthington, attorney-in-fact | 02/09/2011 | |
**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) | 25% of the Shares subject to the Option shall vest on the one year anniversary of April 1, 2010 (the "Vesting Commencement Date"), and thereafter 1/48th of the Shares subject to the Option shall vest each monthly anniversary of the Vesting Commencement Date such that the Option will be fully vested on April 1, 2014; provided that vesting for a percentage of the Shares subject to the Option equal to the Company's percentage achievement of its 2010 corporate goals shall be accelerated to December 31, 2010. The percentage of the Option not accelerated vesting shall vest over 4 years as described above. Vesting is subject to reporting person continuing to be a service provider on such dates. The Option shall expire on January 4, 2021. |
(2) | Reflects a 1-for-1.73 reverse stock split of the Issuer's outstanding shares effected February 3, 2011. |
(3) | 25% of the shares subject to the Option shall vest on the one year anniversary of May 17, 2010 (the "Vesting Commencement Date"), and thereafter 1/48th of 25% the shares subject to the Option shall vest on each monthly anniversary of the Vesting Commencement Date such that the Option will be fully vested on May 16, 2014. |
(4) | 100% of the shares subject to the Option shall vest on April 1, 2014; provided that vesting for a percentage of the shares subject to the Option equal to the reporting person's percentage achievement of his 2010 departmental goals shall be accelerated to December 31, 2010. The shares, if any, not subject to such accelerated vesting shall vest on April 1, 2014. Vesting is subject to the reporting person continuing to be a service provider on such dates. The Option shall expire on January 4, 2021. |
 Remarks: Exhibit List --------------- Exhibit 24 - Power of Attorney |