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STANDARD BIOTOOLS INC. — Director's Dealing 2011
Feb 9, 2011
32853_dirs_2011-02-09_267a8876-83c3-4f4b-864d-e89e79a06d3b.zip
Director's Dealing
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SEC Form 3 — Initial Statement of Beneficial Ownership
Issuer: FLUIDIGM CORP (FLDM)
CIK: 0001162194
Period of Report: 2011-02-09
Reporting Person: Smith William Maxwell (VP, Legal Affairs & GC)
Holdings (Non-Derivative)
| Security | Shares | Ownership |
|---|---|---|
| Common Stock | 49545 | Direct |
Holdings (Derivative)
| Security | Exercise Price | Expiration | Underlying | Shares | Ownership |
|---|---|---|---|---|---|
| Stock Option (Right to Buy) | $4.09 | Common Stock (5780) | Direct | ||
| Stock Option (Right to Buy) | $4.09 | Common Stock (5780) | Direct | ||
| Stock Option (Right to Buy) | $8.38 | Common Stock (5780) | Direct | ||
| Stock Option (Right to Buy) | $8.38 | Common Stock (5780) | Direct | ||
| Stock Option (Right to Buy) | $1.82 | Common Stock (6440) | Direct | ||
| Stock Option (Right to Buy) | $3.40 | Common Stock (16515) | Direct | ||
| Stock Option (Right to Buy) | $1.82 | Common Stock (28901) | Direct | ||
| Stock Option (Right to Buy) | $2.43 | Common Stock (7431) | Direct | ||
| Stock Option (Right to Buy) | $4.45 | Common Stock (8821) | Direct | ||
| Stock Option (Right to Buy) | $4.45 | Common Stock (7693) | Direct | ||
| Stock Option (Right to Buy) | $4.45 | Common Stock (11560) | Direct | ||
| Stock Option (Right to Buy) | $4.45 | Common Stock (8257) | Direct | ||
| Stock Option (Right to Buy) | $4.45 | Common Stock (8257) | Direct | ||
| Stock Option (Right to Buy) | $4.45 | Common Stock (7344) | Direct | ||
| Stock Option (Right to Buy) | $4.45 | Common Stock (12143) | Direct | ||
| Stock Option (Right to Buy) | $4.45 | Common Stock (5176) | Direct | ||
| Stock Option (Right to Buy) | $4.45 | Common Stock (6383) | Direct |
Footnotes
F1: Reflects a 1-for-1.73 reverse stock split of the Issuer's outstanding shares effected February 3, 2011.
F2: 100% of the shares subject to the Option will vest on December 31, 2012; provided that a percentage of the Option equal to the percentage of the reporting person's departmental goals that are achieved would become fully vested effective as of December 31, 2009. The compensation committee determined that the reporting person met 90% of the performance criteria for 2009, resulting in the vesting of the Option as to 5,202 shares on December 31, 2009 and the remaining shares subject to the option to vest on December 31, 2012. The Option shall expire on November 17, 2019.
F3: The compensation committee determined that 70% of the Issuer's corporate goals for 2009 had been achieved. This resulted in 70% of the shares subject to the Option vesting 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 such that all shares subject to the Option shall be fully vested on April 1, 2013. The Option shall expire on November 17, 2019.
F4: 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 on 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 Option equal to the Company's percentage achievement of its 2010 corporate goals shall be accelerated to December 31, 2010 . The compensation committee has not yet made a determination regarding the achievement of 2010 corporate goals. The percentage of the Option not accelerated shall vest over 4 years as described above. Vesting is subject to the reporting person continuing to be a service provider on such dates. The Option shall expire on January 4, 2021.
F5: 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.
F6: The Option fully vested on December 4, 2005 and shall expire on December 4, 2011.
F7: The Option fully vested on January 18, 2009 and shall expire on January 17, 2015.
F8: The Option fully vested on April 1, 2007 and shall expire on July 15, 2013.
F9: The Option fully vested on January 1, 2008 and shall expire on April 18, 2014.
F10: The Option was originally granted on February 1, 2006 and was re-granted on December 23, 2009 as part of the Issuer's option repricing. The Option fully vested on October 1, 2008 and shall expire on August 14, 2016.
F11: The Option was originally granted on February 1, 2006 and was re-granted on December 23, 2009 as part of the Issuer's option repricing. The Option fully vested on May 1, 2010 and shall expire on August 14, 2016.
F12: The Option was originally granted on April 23, 2008 and was re-granted on December 23, 2009 as part of the Issuer's option repricing. 10,837 shares subject to the Option will vest as of December 31, 2011 and 241 shares will vest monthly thereafter. The Option will fully vest on March 31, 2012 and shall expire on April 23, 2018.
F13: The Option was originally granted on April 23, 2008 and was re-granted on December 23, 2009 as part of the Issuer's option repricing. 6,089 shares subject to the Option were vested as of the re-grant date, an additional 1,651 shares will vest on December 31, 2011 and 172 shares will vest monthly thereafter. The Option will fully vest on March 31, 2012 and shall expire on April 23, 2018.
F14: The Option was originally granted on April 23, 2008 and was re-granted on December 23, 2009 as part of the Issuer's option repricing. 5,215 shares subject to the Option were vested as of the re-grant date and thereafter 97 shares vested monthly until January 1, 2010 and 172 shares will vest monthly thereafter. The Option will fully vest on May 1, 2012 and shall expire on April 23, 2018.
F15: The Option was originally granted on May 8, 2007 and was re-granted on December 23, 2009 as part of the issuer's option repricing. The Option fully vested on May 1, 2007 and shall expire on May 7, 2017
F16: The option was originally granted on May 8, 2007 and was re-granted on December 23, 2009 as part of the Issuer's option repricing. 7,842 shares subject to the Option were vested as the re-grant date and 253 shares vest monthly thereafter. The Option will fully vest on May 1, 2011 and shall expire on May 7, 2017.
F17: The Option was originally granted on April 24, 2008 and was re-granted on December 23, 2009 as part of the issuer's option repricing. The Option fully vested on May 1, 2008 and shall expire on April 23, 2018.
F18: The Option was originally granted on April 24, 2008 and was re-granted on December 23, 2009 as part of the issuer's option repricing. The Option fully vested on May 1, 2008 and shall expire on April 23, 2018.