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| | | | 86 | | |
Proposal
|
| |
Vote Required
|
| |
Discretionary Voting
Allowed? |
|
Election of Class I Directors | | | Plurality of the voting power of the shares present in person or represented by proxy at the meeting and entitled to vote on the election of directors | | |
No
|
|
Advisory Vote on Approval of Executive Compensation | | | Majority of the voting power of the shares present in person or represented by proxy at the meeting and entitled to vote on the subject matter | | |
No
|
|
Advisory Vote on the Frequency of the Stockholder Vote on Executive Compensation | | | The frequency receiving the highest number of votes from the holders of shares present in person or by proxy at the meeting and entitled to vote thereon will be considered the frequency preferred by the stockholders | | |
No
|
|
Approval of the 2017 Employee Stock Purchase Plan | | | Majority of the voting power of the shares present in person or represented by proxy at the meeting and entitled to vote on the subject matter | | |
No
|
|
Approval of amendments to our equity compensation plans to allow for a one-time stock option exchange program | | | Majority of the voting power of the shares present in person or represented by proxy at the meeting and entitled to vote on the subject matter | | |
No
|
|
Ratification of Appointment of PricewaterhouseCoopers LLP for the year ending December 31, 2017 | | | Majority of the shares of our common stock present in person or represented by proxy at the meeting and entitled to vote on the subject matter | | |
Yes
|
|
Name
|
| |
Class
|
| |
Age
|
| |
Position
|
| |
Director
Since |
| |
Current
Term Expires |
| |
Expiration
of Term For Which Nominated |
|
Evan Jones(1)(2)(3) | | |
I
|
| |
60
|
| | Director | | |
2011
|
| |
2017
|
| |
—
|
|
Patrick S. Jones(1) | | |
I
|
| |
72
|
| | Director | | |
2011
|
| |
2017
|
| |
2020
|
|
Nicolas Barthelemy(1)(2) | | |
I
|
| |
51
|
| | Director | | |
2017
|
| |
2017
|
| |
2020
|
|
John A. Young(2)(4)(5) | | |
II
|
| |
85
|
| | Director | | |
2001
|
| |
2018
|
| |
—
|
|
Gerhard F. Burbach(1)(2) | | |
II
|
| |
55
|
| | Director | | |
2013
|
| |
2018
|
| |
—
|
|
Carlos Paya(4) | | |
II
|
| |
58
|
| | Director | | |
2017
|
| |
2018
|
| |
—
|
|
Samuel D. Colella(2)(4) | | |
III
|
| |
77
|
| | Chairman | | |
2000
|
| |
2019
|
| |
—
|
|
Stephen Christopher Linthwaite
|
| |
III
|
| |
46
|
| | President, Chief Executive Officer and Director | | |
2016
|
| |
2019
|
| |
—
|
|
|
Annual cash retainer for each non-employee director
|
| | | $ | 40,000 | | |
|
Annual cash retainer for each audit committee member
|
| | | $ | 10,000 | | |
|
Annual cash retainer for each compensation committee member
|
| | | $ | 7,000 | | |
|
Annual cash retainer for each nominating and corporate governance committee member
|
| | | $ | 5,000 | | |
|
Additional cash retainer for chairman of the board
|
| | | $ | 40,000 | | |
|
Additional cash retainer for chairman of the audit committee
|
| | | $ | 10,000 | | |
|
Additional cash retainer for chairman of the compensation committee
|
| | | $ | 8,000 | | |
|
Additional cash retainer for chairman of the nominating and corporate governance committee
|
| | | $ | 5,000 | | |
| | |
Fees Earned or
Paid in Cash ($) |
| |
Stock Awards
($)(1) |
| |
Option Awards
($)(1) |
| |
Total
($) |
| ||||||||||||
Gerhard F. Burbach
|
| | | | 65,000 | | | | | | 52,250 | | | | | | 20,973 | | | | | | 138,223 | | |
Samuel D. Colella
|
| | | | 97,000 | | | | | | 52,250 | | | | | | 20,973 | | | | | | 170,223 | | |
Evan Jones
|
| | | | 57,000 | | | | | | 52,250 | | | | | | 20,973 | | | | | | 130,223 | | |
Patrick S. Jones
|
| | | | 60,000 | | | | | | 52,250 | | | | | | 20,973 | | | | | | 133,223 | | |
John A. Young
|
| | | | 52,000 | | | | | | 52,250 | | | | | | 20,973 | | | | | | 125,223 | | |
| | |
Aggregate Number of Shares
Underlying Stock Options Outstanding as of December 31, 2016 |
| |
Aggregate Number of Shares
Underlying Restricted Stock Units Outstanding as of December 31, 2016 |
| ||||||
Gerhard F. Burbach
|
| | | | 67,000 | | | | | | 5,000 | | |
Samuel D. Colella
|
| | | | 25,000 | | | | | | 5,000 | | |
Evan Jones
|
| | | | 91,000 | | | | | | 5,000 | | |
Patrick S. Jones
|
| | | | 91,000 | | | | | | 5,000 | | |
John A. Young
|
| | | | 78,340 | | | | | | 5,000 | | |
|
If the Exercise Price of an Eligible Option is:
|
| |
The Exchange Ratio for
Employees Receiving RSUs is: |
| |
The Exchange Ratio for
Employees Receiving Options is: |
| ||||||||||||
|
From:
|
| |
To:
|
| | | | | | | | | | | | | |||
|
$ 5.00
|
| | | $ | 5.99 | | | | | | 2.00 | | | | | | 1.00 | | |
|
$ 6.00
|
| | | $ | 6.99 | | | | | | 2.16 | | | | | | 1.35 | | |
|
$ 7.00
|
| | | $ | 7.99 | | | | | | 2.41 | | | | | | 1.51 | | |
|
$ 8.00
|
| | | $ | 8.99 | | | | | | 2.84 | | | | | | 1.64 | | |
|
$ 9.00
|
| | | $ | 9.99 | | | | | | 2.62 | | | | | | 1.78 | | |
|
$10.00
|
| | | $ | 10.99 | | | | | | 2.92 | | | | | | 1.83 | | |
|
$11.00
|
| | | $ | 11.99 | | | | | | 3.00 | | | | | | 1.88 | | |
|
$12.00
|
| | | $ | 12.99 | | | | | | N/A | | | | | | N/A | | |
|
$13.00
|
| | | $ | 13.99 | | | | | | 4.27 | | | | | | 2.68 | | |
|
$14.00
|
| | | $ | 14.99 | | | | | | 4.56 | | | | | | 2.86 | | |
|
$15.00
|
| | | $ | 15.99 | | | | | | 4.76 | | | | | | 2.98 | | |
|
$16.00
|
| | | $ | 16.99 | | | | | | 4.89 | | | | | | 3.06 | | |
|
$17.00
|
| | | $ | 17.99 | | | | | | 4.95 | | | | | | N/A | | |
|
$18.00
|
| | | $ | 18.99 | | | | | | 5.00 | | | | | | 3.15 | | |
|
$19.00
|
| | | $ | 19.99 | | | | | | 5.15 | | | | | | N/A | | |
|
$20.00
|
| | | $ | 20.99 | | | | | | 5.25 | | | | | | N/A | | |
|
$21.00
|
| | | $ | 21.99 | | | | | | N/A | | | | | | N/A | | |
|
$22.00
|
| | | $ | 22.99 | | | | | | N/A | | | | | | N/A | | |
|
$23.00
|
| | | $ | 23.99 | | | | | | 5.50 | | | | | | 3.20 | | |
|
$24.00
|
| | | $ | 24.99 | | | | | | N/A | | | | | | N/A | | |
|
$25.00
|
| | | $ | 25.99 | | | | | | 5.75 | | | | | | 3.50 | | |
|
$26.00
|
| | | $ | 26.99 | | | | | | N/A | | | | | | N/A | | |
|
$27.00
|
| | | $ | 27.99 | | | | | | 5.97 | | | | | | 3.74 | | |
|
$28.00
|
| | | $ | 28.99 | | | | | | 6.20 | | | | | | N/A | | |
|
$29.00
|
| | | $ | 29.99 | | | | | | 6.40 | | | | | | N/A | | |
|
$30.00
|
| | | $ | 30.99 | | | | | | N/A | | | | | | N/A | | |
|
$31.00
|
| | | $ | 31.99 | | | | | | 7.00 | | | | | | N/A | | |
|
$32.00
|
| | | $ | 32.99 | | | | | | 7.25 | | | | | | N/A | | |
|
$33.00
|
| | | $ | 33.99 | | | | | | 7.50 | | | | | | N/A | | |
|
$34.00
|
| | | $ | 34.99 | | | | | | N/A | | | | | | N/A | | |
|
$35.00
|
| | | $ | 35.99 | | | | | | N/A | | | | | | N/A | | |
|
$36.00
|
| | | $ | 36.99 | | | | | | N/A | | | | | | N/A | | |
|
$37.00
|
| | | $ | 37.99 | | | | | | 8.00 | | | | | | N/A | | |
|
$38.00
|
| | | $ | 38.99 | | | | | | 8.50 | | | | | | N/A | | |
|
$39.00
|
| | | $ | 39.99 | | | | | | N/A | | | | | | N/A | | |
|
$40.00
|
| | | $ | 40.99 | | | | | | N/A | | | | | | N/A | | |
|
$41.00
|
| | | $ | 41.99 | | | | | | 9.00 | | | | | | 5.50 | | |
|
$42.00
|
| | | $ | 42.99 | | | | | | N/A | | | | | | N/A | | |
|
$43.00
|
| | | $ | 43.99 | | | | | | 9.32 | | | | | | N/A | | |
|
$44.00
|
| | | $ | 44.99 | | | | | | N/A | | | | | | N/A | | |
|
$45.00
|
| | | $ | 45.99 | | | | | | N/A | | | | | | N/A | | |
|
$46.00
|
| | | $ | 46.99 | | | | | | 9.70 | | | | | | N/A | | |
|
$47.00
|
| | | $ | 47.99 | | | | | | 10.54 | | | | | | 6.60 | | |
Exercise Price of Eligible Options
|
| |
Number
of Shares Underlying Eligible Options |
| |
Weighted
Average Price of Eligible Options |
| |
Weighted
Average Remaining Term of Eligible Options (Years) |
| |
Maximum
Number of New Options |
| |
Maximum
Number of New RSUs |
| |||||||||||||||||||||
From:
|
| |
To:
|
| |||||||||||||||||||||||||||||||||
$ 5.00
|
| | | $ | 5.99 | | | | | | 15,785 | | | | | $ | 5.86 | | | | | | 9.75 | | | | | | 15,500 | | | | | | 143 | | |
$ 6.00
|
| | | $ | 6.99 | | | | | | 696,469 | | | | | $ | 6.29 | | | | | | 9.63 | | | | | | 501,326 | | | | | | 9,123 | | |
$ 7.00
|
| | | $ | 7.99 | | | | | | 141,429 | | | | | $ | 7.10 | | | | | | 8.73 | | | | | | 56,593 | | | | | | 23,239 | | |
$ 8.00
|
| | | $ | 8.99 | | | | | | 80,147 | | | | | $ | 8.48 | | | | | | 5.61 | | | | | | 18,745 | | | | | | 17,412 | | |
$ 9.00
|
| | | $ | 9.99 | | | | | | 225,679 | | | | | $ | 9.16 | | | | | | 9.07 | | | | | | 121,395 | | | | | | 3,669 | | |
$10.00
|
| | | $ | 10.99 | | | | | | 57,726 | | | | | $ | 10.78 | | | | | | 8.52 | | | | | | 17,225 | | | | | | 8,982 | | |
$11.00
|
| | | $ | 11.99 | | | | | | 34,643 | | | | | $ | 11.37 | | | | | | 8.46 | | | | | | 10,311 | | | | | | 5,087 | | |
$12.00
|
| | | $ | 12.99 | | | | | | — | | | | | | — | | | | | | — | | | | | | — | | | | | | — | | |
$13.00
|
| | | $ | 13.99 | | | | | | 65,496 | | | | | $ | 13.19 | | | | | | 4.37 | | | | | | 2,538 | | | | | | 13,773 | | |
$14.00
|
| | | $ | 14.99 | | | | | | 169,488 | | | | | $ | 14.54 | | | | | | 4.71 | | | | | | 8,102 | | | | | | 32,131 | | |
$15.00
|
| | | $ | 15.99 | | | | | | 55,876 | | | | | $ | 15.53 | | | | | | 4.82 | | | | | | 12,216 | | | | | | 4,095 | | |
$16.00
|
| | | $ | 16.99 | | | | | | 99,626 | | | | | $ | 16.72 | | | | | | 5.63 | | | | | | 29,560 | | | | | | 1,880 | | |
$17.00
|
| | | $ | 17.99 | | | | | | 9,368 | | | | | $ | 17.22 | | | | | | 5.92 | | | | | | — | | | | | | 1,897 | | |
$18.00
|
| | | $ | 18.99 | | | | | | 211,691 | | | | | $ | 18.58 | | | | | | 5.74 | | | | | | 6,128 | | | | | | 38,490 | | |
$19.00
|
| | | $ | 19.99 | | | | | | 660 | | | | | $ | 19.32 | | | | | | 0.86 | | | | | | — | | | | | | 129 | | |
$20.00
|
| | | $ | 20.99 | | | | | | 8,338 | | | | | $ | 20.25 | | | | | | 7.15 | | | | | | — | | | | | | 1,595 | | |
$21.00
|
| | | $ | 21.99 | | | | | | — | | | | | | — | | | | | | — | | | | | | — | | | | | | — | | |
$22.00
|
| | | $ | 22.99 | | | | | | — | | | | | | — | | | | | | — | | | | | | — | | | | | | — | | |
$23.00
|
| | | $ | 23.99 | | | | | | 4,250 | | | | | $ | 23.64 | | | | | | 7.96 | | | | | | 279 | | | | | | 612 | | |
$24.00
|
| | | $ | 24.99 | | | | | | — | | | | | | — | | | | | | — | | | | | | — | | | | | | — | | |
$25.00
|
| | | $ | 25.99 | | | | | | 33,530 | | | | | $ | 25.23 | | | | | | 7.93 | | | | | | 8,858 | | | | | | 440 | | |
Exercise Price of Eligible Options
|
| |
Number
of Shares Underlying Eligible Options |
| |
Weighted
Average Price of Eligible Options |
| |
Weighted
Average Remaining Term of Eligible Options (Years) |
| |
Maximum
Number of New Options |
| |
Maximum
Number of New RSUs |
| |||||||||||||||||||||
From:
|
| |
To:
|
| |||||||||||||||||||||||||||||||||
$26.00
|
| | | $ | 26.99 | | | | | | — | | | | | | — | | | | | | — | | | | | | — | | | | | | — | | |
$27.00
|
| | | $ | 27.99 | | | | | | 11,775 | | | | | $ | 27.10 | | | | | | 7.12 | | | | | | 2,674 | | | | | | 298 | | |
$28.00
|
| | | $ | 28.99 | | | | | | 1,990 | | | | | $ | 28.63 | | | | | | 7.13 | | | | | | — | | | | | | 321 | | |
$29.00
|
| | | $ | 29.99 | | | | | | 3,210 | | | | | $ | 29.37 | | | | | | 7.01 | | | | | | — | | | | | | 503 | | |
$30.00
|
| | | $ | 30.99 | | | | | | — | | | | | | — | | | | | | — | | | | | | — | | | | | | — | | |
$31.00
|
| | | $ | 31.99 | | | | | | 10,460 | | | | | $ | 31.50 | | | | | | 6.38 | | | | | | — | | | | | | 1,497 | | |
$32.00
|
| | | $ | 32.99 | | | | | | 7,272 | | | | | $ | 32.28 | | | | | | 6.49 | | | | | | — | | | | | | 1,007 | | |
$33.00
|
| | | $ | 33.99 | | | | | | 3,560 | | | | | $ | 33.73 | | | | | | 7.54 | | | | | | — | | | | | | 475 | | |
$34.00
|
| | | $ | 34.99 | | | | | | — | | | | | | — | | | | | | — | | | | | | — | | | | | | — | | |
$35.00
|
| | | $ | 35.99 | | | | | | — | | | | | | — | | | | | | — | | | | | | — | | | | | | — | | |
$36.00
|
| | | $ | 36.99 | | | | | | — | | | | | | — | | | | | | — | | | | | | — | | | | | | — | | |
$37.00
|
| | | $ | 37.99 | | | | | | 1,292 | | | | | $ | 37.46 | | | | | | 7.88 | | | | | | — | | | | | | 162 | | |
$38.00
|
| | | $ | 38.99 | | | | | | 11,020 | | | | | $ | 38.28 | | | | | | 6.54 | | | | | | — | | | | | | 1,298 | | |
$39.00
|
| | | $ | 39.99 | | | | | | — | | | | | | — | | | | | | — | | | | | | — | | | | | | — | | |
$40.00
|
| | | $ | 40.99 | | | | | | — | | | | | | — | | | | | | — | | | | | | — | | | | | | — | | |
$41.00
|
| | | $ | 41.99 | | | | | | 96,874 | | | | | $ | 41.14 | | | | | | 7.74 | | | | | | 10,797 | | | | | | 4,182 | | |
$42.00
|
| | | $ | 42.99 | | | | | | — | | | | | | — | | | | | | — | | | | | | — | | | | | | — | | |
$43.00
|
| | | $ | 43.99 | | | | | | 413 | | | | | $ | 43.66 | | | | | | 6.66 | | | | | | — | | | | | | 45 | | |
$44.00
|
| | | $ | 44.99 | | | | | | — | | | | | | — | | | | | | — | | | | | | — | | | | | | — | | |
$45.00
|
| | | $ | 45.99 | | | | | | — | | | | | | — | | | | | | — | | | | | | — | | | | | | — | | |
$46.00
|
| | | $ | 46.99 | | | | | | 1,210 | | | | | $ | 46.85 | | | | | | 6.71 | | | | | | — | | | | | | 125 | | |
$47.00
|
| | | $ | 47.99 | | | | | | 76,338 | | | | | $ | 47.55 | | | | | | 6.75 | | | | | | 7,864 | | | | | | 2,339 | | |
| | |
Prior to
the Exchange |
| |
Following
the Exchange |
| ||||||
Shares of Common Stock Outstanding
|
| | | | 29,414,727 | | | | | | 28,284,172 | | |
Shares Covered by All Outstanding Options (including options held by all employees, executive officers and directors)
|
| | | | 3,700,976 | | | | | | 2,395,472 | | |
Shares Covered by All Outstanding Full Value Awards (that is, outstanding RSUs)
|
| | | | 1,203,010 | | | | | | 1,377,959 | | |
Shares Available for Future Award Grants Under the 2011 Plan (assuming Proposal Number 5 is approved)
|
| | | | 903,475 | | | | | | 2,034,030 | | |
Shares Available for Future Award Grants Under the 2011 Plan (assuming Proposal Number 5 is not approved)
|
| | | | 903,475 | | | | | | 903,475 | | |
| | |
Number
of Shares Subject to Eligible Options |
| |
Weighted
Average Exercise Price of Eligible Options |
| |
Maximum
Number of Shares Subject to New Options |
| |
Dollar
Value of New Options(1) |
| |
Maximum
Number of Shares Subject to New RSUs |
| |
Dollar
Value of New RSUs(1) |
|||||||||||||||||
Stephen Christopher Linthwaite
President and Chief Executive Officer |
| | | | 329,500 | | | | | $ | 7.39 | | | | | | 219,023 | | | | | $ | 525,655 | | | | | | — | | | | | $ | — |
Vikram Jog
Chief Financial Officer |
| | | | 167,187 | | | | | $ | 14.62 | | | | | | 91,338 | | | | | $ | 219,211 | | | | | | — | | | | | $ | — |
Steven C. McPhail
Chief Commercial Officer |
| | | | 95,875 | | | | | $ | 12.46 | | | | | | 55,855 | | | | | $ | 134,052 | | | | | | — | | | | | $ | — |
Mai Chan (Grace) Yow
Executive Vice President, Worldwide Manufacturing of Fluidigm Singapore Pte. Ltd.. |
| | | | 172,593 | | | | | $ | 17.07 | | | | | | 76,951 | | | | | $ | 184,682 | | | | | | — | | | | | $ | — |
Nicholas Khadder
Senior Vice President, General Counsel and Secretary |
| | | | 106,300 | | | | | $ | 6.89 | | | | | | 73,910 | | | | | $ | 177,384 | | | | | | — | | | | | $ | — |
Gajus V. Worthington
Former President and Chief Executive Officer |
| | | | — | | | | | $ | — | | | | | | — | | | | | $ | — | | | | | | — | | | | | $ | — |
William M. Smith
Former Executive Vice President, Legal Affairs, General Counsel and Secretary |
| | | | — | | | | | $ | — | | | | | | — | | | | | $ | — | | | | | | — | | | | | $ | — |
| | |
Number
of Shares Subject to Eligible Options |
| |
Weighted
Average Exercise Price of Eligible Options |
| |
Maximum
Number of Shares Subject to New Options |
| |
Dollar
Value of New Options(1) |
| |
Maximum
Number of Shares Subject to New RSUs |
| |
Dollar
Value of New RSUs(1) |
| ||||||||||||||||||
Marc Unger
Former Executive Vice President, Research and Development and Marketing |
| | | | — | | | | | $ | — | | | | | | — | | | | | $ | — | | | | | | — | | | | | $ | — | | |
Executive group
|
| | | | 871,455 | | | | | $ | 11.19 | | | | | | 517,077 | | | | | $ | 1,240,985 | | | | | | — | | | | | $ | — | | |
Non-executive director group
|
| | | | — | | | | | | — | | | | | | — | | | | | | — | | | | | | — | | | | | $ | — | | |
Non-executive officer employee group
|
| | | | 1,264,160 | | | | | $ | 15.73 | | | | | | 313,034 | | | | | $ | 751,282 | | | | | | 174,949 | | | | | $ | 670,055 | | |
| | |
2016
|
| |
2015
|
| ||||||
Audit fees(1)
|
| | | $ | 1,296,464 | | | | | $ | 1,248,247 | | |
Audit-related fees
|
| | | | — | | | | | | — | | |
Tax fees(2)
|
| | | | 72,000 | | | | | | — | | |
All other fees
|
| | | | — | | | | | | — | | |
Total fees
|
| | | $ | 1,368,464 | | | | | $ | 1,248,247 | | |
Name
|
| |
Age
|
| |
Position
|
|
Stephen Christopher Linthwaite | | |
46
|
| | President, Chief Executive Officer, and Director | |
Vikram Jog | | |
60
|
| | Chief Financial Officer | |
Steven C. McPhail | | |
63
|
| | Chief Commercial Officer | |
Mai Chan (Grace) Yow | | |
58
|
| | Executive Vice President, Worldwide Manufacturing of Fluidigm Singapore Pte. Ltd. | |
Nicholas Khadder | | |
43
|
| | Senior Vice President, General Counsel, and Secretary | |
Jennifer Lee | | |
54
|
| |
Vice President, Controller, and Principal Accounting Officer
|
|
| Abaxis | | | Luminex | | | Sequenom | |
| Accelerate Diagnostics | | | NanoString Technologies | | | SurModics | |
| Affymetrix | | | Neogenomics | | | Veracyte | |
| AtriCure | | | Pacific Biosciences | | | Zeltiq Aesthetics | |
| GenMark Diagnostics | | | Quidel | | | ||
| Inogen | | | Repligen | | |
Named Executive Officers
|
| |
2015
Base Salary(1) |
| |
2016
Base Salary(1) |
| |
2016 Base Salary
Percentage Increase(2) |
| |||||||||
Stephen Christopher Linthwaite(3)
President and Chief Executive Officer |
| | | | — | | | | | $ | 500,000 | | | | | | — | | |
Vikram Jog
Chief Financial Officer |
| | | $ | 329,600 | | | | | $ | 339,500 | | | | | | 3.0% | | |
Steven C. McPhail(4)
Chief Commercial Officer |
| | | $ | 333,000 | | | | | $ | 339,700 | | | | | | 2.0% | | |
Mai Chan (Grace) Yow(5)
Executive Vice President, Worldwide Manufacturing of Fluidigm Singapore Pte. Ltd. |
| | | S$ | 403,224 | | | | | S$ | 423,400 | | | | | | 5.0% | | |
Nicholas Khadder(6)
Senior Vice President, General Counsel, and Secretary |
| | | | — | | | | | $ | 325,000 | | | | | | — | | |
Gajus V. Worthington(7)
Former President and Chief Executive Officer |
| | | $ | 504,700 | | | | | $ | 504,700 | | | | | | — | | |
William M. Smith(8)
Former Executive Vice President, Legal Affairs, General Counsel and Secretary |
| | | $ | 334,750 | | | | | $ | 344,750 | | | | | | 3.0% | | |
Marc Unger, Ph.D.(9)
Former Executive Vice President, Research and Development and Marketing |
| | | $ | 304,500 | | | | | $ | 313,600 | | | | | | 3.0% | | |
|
•
attainment of research and development milestones
•
business divestitures and acquisitions
•
cash flow and/or cash position
•
contract awards or backlog
•
customer renewals
•
customer retention rates from an acquired company, business, unit or division
•
departmental performance
•
earnings (which may include earnings before interest and taxes, earnings before taxes, and net earnings)
•
earnings per share
•
expenses, overhead or other expense reduction
•
growth in stockholder value relative to the moving average of the S&P 500 Index or another index
•
individual objectives such as peer reviews or other subjective or objective criteria
•
internal rate of return
•
market share
|
| |
•
net income, net profit, net sales and/or net revenue
•
new product development
•
new product invention or innovation
•
number of customers
•
operating cash flow, expenses, income and/or margin
•
product defect measures
•
product release timelines
•
productivity
•
profit and/or gross margin
•
publicity or publication goals
•
return on assets, capital, equity, investment and/or sales
•
revenue and/or revenue growth
•
sales pipeline and orders
•
sales results and/or growth
•
stock price
•
time to market
•
total stockholder return
•
working capital
|
|
| | |
2016
|
| |||||||||||||||||||||
Named Executive Officer
|
| |
Time-based
Stock Options |
| |
Time-based
Restricted Stock Units |
| |
Performance-
based Stock Options |
| |
Performance-
based Restricted Stock Units |
| ||||||||||||
Stephen Christopher Linthwaite
President and Chief Executive Officer |
| | | | 280,000(1) | | | | | | — | | | | | | — | | | | | | 14,000(2) | | |
Vikram Jog
Chief Financial Officer |
| | | | 13,500(3) | | | | | | 5,400(4) | | | | | | 13,500(5) | | | | | | 5,400(5) | | |
Steven C. McPhail
Chief Commercial Officer |
| | | | 13,500(3) | | | | | | 7,400(4)(6) | | | | | | 13,500(5) | | | | | | 5,400(5) | | |
Mai Chan (Grace) Yow
Executive Vice President, Worldwide Manufacturing of Fluidigm Singapore Pte. Ltd. |
| | | | 13,500(3) | | | | | | 5,400(4) | | | | | | 13,500(5) | | | | | | 5,400(5) | | |
Nicholas Khadder
Senior Vice President, General Counsel, and Secretary |
| | | | 27,000(7) | | | | | | 10,800(8) | | | | | | — | | | | | | — | | |
Gajus V. Worthington
Former President and Chief Executive Officer |
| | | | 33,750(3) | | | | | | 13,500(4) | | | | | | 33,750(5) | | | | | | 13,500(5) | | |
William M. Smith
Former Executive Vice President, Legal Affairs, General Counsel and Secretary |
| | | | 13,500(3) | | | | | | 5,400(4) | | | | | | 13,500(5) | | | | | | 5,400(5) | | |
Marc Unger, Ph.D.
Former Executive Vice President, Research and Development and Marketing |
| | | | 13,500(3) | | | | | | 5,400(4) | | | | | | 13,500(5) | | | | | | 5,400(5) | | |
Name and Principal Position
|
| |
Year
|
| |
Salary
($) |
| |
Stock
Awards ($)(1) |
| |
Option
Awards ($)(1) |
| |
Non-Equity
Incentive Plan Compensation ($)(2) |
| |
All Other
Compensation ($) |
| |
Total
($) |
| |||||||||||||||||||||
Stephen Christopher Linthwaite(3)
President and Chief Executive Officer |
| | | | 2016 | | | | | | 197,349 | | | | | | 126,700 | | | | | | 872,746 | | | | | | — | | | | | | 2,000(4) | | | | | | 1,198,795 | | |
Vikram Jog
Chief Financial Officer |
| | | | 2016 | | | | | | 339,500 | | | | | | 76,680 | | | | | | 80,939 | | | | | | — | | | | | | 2,000(4) | | | | | | 499,199 | | |
| | | 2015 | | | | | | 329,600 | | | | | | 197,472 | | | | | | 237,772 | | | | | | — | | | | | | 2,000 | | | | | | 766,844 | | | ||
| | | 2014 | | | | | | 320,000 | | | | | | 266,280 | | | | | | 367,739 | | | | | | 82,000 | | | | | | — | | | | | | 1,036,019 | | | ||
Steven C. McPhail(5)
Chief Commercial Officer |
| | | | 2016 | | | | | | 339,700 | | | | | | 92,820 | | | | | | 80,939 | | | | | | — | | | | | | 2,000(4) | | | | | | 515,459 | | |
| | | 2015 | | | | | | 216,955 | | | | | | 312,852 | | | | | | 350,006 | | | | | | — | | | | | | 2,000 | | | | | | 881,813 | | | ||
Mai Chan (Grace) Yow
Executive Vice President, Worldwide Manufacturing of Fluidigm Singapore Pte. |
| | | | 2016 | | | | | | 294,856(6) | | | | | | 76,680 | | | | | | 80,939 | | | | | | — | | | | | | 7,127(6)(7) | | | | | | 459,602 | | |
| | | 2015 | | | | | | 286,329(8) | | | | | | 320,892 | | | | | | 237,772 | | | | | | — | | | | | | 7,243(8) | | | | | | 852,236 | | | ||
| | | 2014 | | | | | | 288,990(9) | | | | | | 266,280 | | | | | | 367,739 | | | | | | 78,000 | | | | | | 6,780(9) | | | | | | 1,007,789 | | | ||
Nicholas Khadder(10)
Senior Vice President, General Counsel, and Secretary |
| | | | 2016 | | | | | | 173,580 | | | | | | 97,740 | | | | | | 101,671 | | | | | | — | | | | | | 1,323(4) | | | | | | 374,314 | | |
Gajus V. Worthington(11)
Former President and Chief Executive Officer |
| | | | 2016 | | | | | | 447,995 | | | | | | 191,700(12) | | | | | | 202,348(12) | | | | | | — | | | | | | 816,765(13) | | | | | | 1,658,808 | | |
| | | 2015 | | | | | | 504,700 | | | | | | 511,782 | | | | | | 615,950(12) | | | | | | — | | | | | | 2,000 | | | | | | 1,634,432 | | | ||
| | | 2014 | | | | | | 490,000 | | | | | | 1,236,300 | | | | | | 1,707,359(12) | | | | | | 206,000 | | | | | | — | | | | | | 3,639,659 | | | ||
William M. Smith(14)
Former Executive Vice President, Legal Affairs, General Counsel and Secretary |
| | | | 2016 | | | | | | 293,417 | | | | | | 76,680 | | | | | | 80,939 | | | | | | — | | | | | | 2,000(4) | | | | | | 453,036 | | |
| | | 2015 | | | | | | 334,750 | | | | | | 197,472 | | | | | | 237,772 | | | | | | — | | | | | | 2,000 | | | | | | 771,994 | | | ||
| | | 2014 | | | | | | 325,000 | | | | | | 266,280 | | | | | | 367,739 | | | | | | 83,000 | | | | | | 99,398 | | | | | | 1,141,417 | | | ||
Marc Unger(15)
Former Executive Vice President, Research and Development and Marketing |
| | | | 2016 | | | | | | 270,435 | | | | | | 76,680 | | | | | | 80,939 | | | | | | — | | | | | | 7,375(16) | | | | | | 435,429 | | |
| | | 2015 | | | | | | 304,500 | | | | | | 254,112 | | | | | | 298,172 | | | | | | — | | | | | | 2,000 | | | | | | 858,784 | | |
| | | | | | | | |
Estimated Future Payouts Under Non-Equity
Incentive Plan Awards ($)(1) |
| |
Estimated Future Payments Under Equity
Incentive Plan Awards (#)(2) |
| |
All Stock
Awards: Number of Shares of Stock or Units (#) |
| |
All Option
Awards: Number of Securities Underlying Options (#) |
| |
Exercise
or Base Price of Option Awards ($/Sh)(3) |
| |
Grant Date
Fair Value of Stock and Option Awards ($)(4) |
| ||||||||||||||||||||||||||||||||||||||||||
Name
|
| |
Grant Date
|
| |
Threshold
|
| |
Target
|
| |
Maximum
|
| |
Threshold
|
| |
Target
|
| |
Maximum
|
| |||||||||||||||||||||||||||||||||||||||||||||
Stephen Christopher Linthwaite
|
| | | | 08/04/2016(5) | | | | | | 94,740(5) | | | | | | 145,753(5) | | | | | | 176,362(5) | | | | | | — | | | | | | — | | | | | | — | | | | | | — | | | | | | — | | | | | | — | | | | | | — | | |
| | | 11/08/2016(6) | | | | | | — | | | | | | — | | | | | | — | | | | | | — | | | | | | — | | | | | | — | | | | | | — | | | | | | 140,000 | | | | | | 4.99 | | | | | | 343,098 | | | ||
| | | 08/09/2016(6) | | | | | | — | | | | | | — | | | | | | — | | | | | | — | | | | | | 14,000(7) | | | | | | 14,000(7) | | | | | | — | | | | | | — | | | | | | — | | | | | | 126,700 | | | ||
| | | 08/09/2016(6) | | | | | | — | | | | | | — | | | | | | — | | | | | | — | | | | | | — | | | | | | — | | | | | | — | | | | | | 140,000 | | | | | | 9.05 | | | | | | 529,648 | | | ||
Vikram Jog
|
| | | | 03/04/2016(8) | | | | | | 93,787 | | | | | | 144,288 | | | | | | 174,588 | | | | | | — | | | | | | — | | | | | | — | | | | | | — | | | | | | — | | | | | | — | | | | | | — | | |
| | | 03/04/2016(6) | | | | | | — | | | | | | — | | | | | | — | | | | | | — | | | | | | — | | | | | | — | | | | | | — | | | | | | 13,500 | | | | | | 7.10 | | | | | | 40,137 | | | ||
| | | 03/04/2016(6) | | | | | | — | | | | | | — | | | | | | — | | | | | | — | | | | | | — | | | | | | — | | | | | | 5,400 | | | | | | — | | | | | | — | | | | | | 38,340 | | | ||
| | | 03/04/2016(6) | | | | | | — | | | | | | — | | | | | | — | | | | | | 6,750 | | | | | | 13,500 | | | | | | 13,500 | | | | | | — | | | | | | — | | | | | | 7.10 | | | | | | 40,802 | | | ||
| | | 03/04/2016(6) | | | | | | — | | | | | | — | | | | | | — | | | | | | 2,700 | | | | | | 5,400 | | | | | | 5,400 | | | | | | — | | | | | | — | | | | | | — | | | | | | 38,340 | | | ||
Steven C. McPhail
|
| | | | 03/04/2016(8) | | | | | | 93,842 | | | | | | 144,373 | | | | | | 174,691 | | | | | | — | | | | | | — | | | | | | — | | | | | | — | | | | | | — | | | | | | — | | | | | | — | | |
| | | 03/04/2016(6) | | | | | | — | | | | | | — | | | | | | — | | | | | | — | | | | | | — | | | | | | — | | | | | | — | | | | | | 13,500 | | | | | | 7.10 | | | | | | 40,137 | | | ||
| | | 03/04/2016(6) | | | | | | — | | | | | | — | | | | | | — | | | | | | — | | | | | | — | | | | | | — | | | | | | 5,400 | | | | | | — | | | | | | — | | | | | | 38,340 | | | ||
| | | 03/04/2016(6) | | | | | | — | | | | | | — | | | | | | — | | | | | | 6,750 | | | | | | 13,500 | | | | | | 13,500 | | | | | | — | | | | | | — | | | | | | 7.10 | | | | | | 40,802 | | | ||
| | | 03/04/2016(6) | | | | | | — | | | | | | — | | | | | | — | | | | | | 2,700 | | | | | | 5,400 | | | | | | 5,400 | | | | | | — | | | | | | — | | | | | | — | | | | | | 38,340 | | | ||
| | | 03/31/2016(6) | | | | | | — | | | | | | — | | | | | | — | | | | | | — | | | | | | — | | | | | | — | | | | | | 2,000 | | | | | | — | | | | | | — | | | | | | 16,140 | | | ||
Mai Chan (Grace) Yow
|
| | | | 03/04/2016(8) | | | | | | 81,454(9) | | | | | | 125,314(9) | | | | | | 151,630(9) | | | | | | — | | | | | | — | | | | | | — | | | | | | — | | | | | | — | | | | | | — | | | | | | — | | |
| | | 03/04/2016(6) | | | | | | — | | | | | | — | | | | | | — | | | | | | — | | | | | | — | | | | | | — | | | | | | — | | | | | | 13,500 | | | | | | 7.10 | | | | | | 40,137 | | | ||
| | | 03/04/2016(6) | | | | | | — | | | | | | — | | | | | | — | | | | | | — | | | | | | — | | | | | | — | | | | | | 5,400 | | | | | | — | | | | | | — | | | | | | 38,340 | | | ||
| | | 03/04/2016(6) | | | | | | — | | | | | | — | | | | | | — | | | | | | 6,750 | | | | | | 13,500 | | | | | | 13,500 | | | | | | — | | | | | | — | | | | | | 7.10 | | | | | | 40,802 | | | ||
| | | 03/04/2016(6) | | | | | | — | | | | | | — | | | | | | — | | | | | | 2,700 | | | | | | 5,400 | | | | | | 5,400 | | | | | | — | | | | | | — | | | | | | — | | | | | | 38,340 | | | ||
Nicholas Khadder
|
| | | | 06/06/2016(10) | | | | | | 47,719(10) | | | | | | 73,414(10) | | | | | | 88,831(10) | | | | | | — | | | | | | — | | | | | | — | | | | | | — | | | | | | — | | | | | | — | | | | | | — | | |
| | | 08/09/2016(6) | | | | | | — | | | | | | — | | | | | | — | | | | | | — | | | | | | — | | | | | | — | | | | | | 10,800 | | | | | | — | | | | | | — | | | | | | 97,740 | | | ||
| | | 08/09/2016(6) | | | | | | — | | | | | | — | | | | | | — | | | | | | — | | | | | | — | | | | | | — | | | | | | — | | | | | | 27,000 | | | | | | 9.05 | | | | | | 101,671 | | | ||
Gajus V. Worthington
|
| | | | 03/04/2016(8) | | | | | | 229,639 | | | | | | 353,290 | | | | | | 427,481 | | | | | | — | | | | | | — | | | | | | — | | | | | | — | | | | | | — | | | | | | — | | | | | | — | | |
| | | 03/04/2016(6) | | | | | | — | | | | | | — | | | | | | — | | | | | | — | | | | | | — | | | | | | — | | | | | | — | | | | | | 33,750 | | | | | | 7.10 | | | | | | 100,342 | | | ||
| | | 03/04/2016(6) | | | | | | — | | | | | | — | | | | | | — | | | | | | — | | | | | | — | | | | | | — | | | | | | 13,500 | | | | | | — | | | | | | — | | | | | | 95,850 | | | ||
| | | 03/04/2016(11) | | | | | | — | | | | | | — | | | | | | — | | | | | | 16,875(11) | | | | | | 33,750(11) | | | | | | 33,750(11) | | | | | | — | | | | | | — | | | | | | 7.10 | | | | | | 102,006(11) | | | ||
| | | 03/04/2016(11) | | | | | | — | | | | | | — | | | | | | — | | | | | | 6,750(11) | | | | | | 13,500(11) | | | | | | 13,500(11) | | | | | | — | | | | | | — | | | | | | — | | | | | | 95,850(11) | | | ||
William M. Smith
|
| | | | 03/04/2016(8) | | | | | | 95,237 | | | | | | 146,519 | | | | | | 177,288 | | | | | | — | | | | | | — | | | | | | — | | | | | | — | | | | | | — | | | | | | — | | | | | | — | | |
| | | 03/04/2016(6) | | | | | | — | | | | | | — | | | | | | — | | | | | | — | | | | | | — | | | | | | — | | | | | | — | | | | | | 13,500 | | | | | | 7.10 | | | | | | 40,137 | | | ||
| | | 03/04/2016(6) | | | | | | — | | | | | | — | | | | | | — | | | | | | — | | | | | | — | | | | | | — | | | | | | 5,400 | | | | | | — | | | | | | — | | | | | | 38,340 | | | ||
| | | 03/04/2016(6) | | | | | | — | | | | | | — | | | | | | — | | | | | | 6,750 | | | | | | 13,500 | | | | | | 13,500 | | | | | | — | | | | | | — | | | | | | 7.10 | | | | | | 40,802 | | | ||
| | | 03/04/2016(6) | | | | | | — | | | | | | — | | | | | | — | | | | | | 2,700 | | | | | | 5,400 | | | | | | 5,400 | | | | | | — | | | | | | — | | | | | | — | | | | | | 38,340 | | | ||
Marc Unger
|
| | | | 03/04/2016(8) | | | | | | 86,632 | | | | | | 133,280 | | | | | | 161,269 | | | | | | — | | | | | | — | | | | | | — | | | | | | — | | | | | | — | | | | | | — | | | | | | — | | |
| | | 03/04/2016(6) | | | | | | — | | | | | | — | | | | | | — | | | | | | — | | | | | | — | | | | | | — | | | | | | — | | | | | | 13,500 | | | | | | 7.10 | | | | | | 40,137 | | | ||
| | | 03/04/2016(6) | | | | | | — | | | | | | — | | | | | | — | | | | | | — | | | | | | — | | | | | | — | | | | | | 5,400 | | | | | | — | | | | | | — | | | | | | 38,340 | | | ||
| | | 03/04/2016(6) | | | | | | — | | | | | | — | | | | | | — | | | | | | 6,750 | | | | | | 13,500 | | | | | | 13,500 | | | | | | — | | | | | | — | | | | | | 7.10 | | | | | | 40,802 | | | ||
| | | 03/04/2016(6) | | | | | | — | | | | | | — | | | | | | — | | | | | | 2,700 | | | | | | 5,400 | | | | | | 5,400 | | | | | | — | | | | | | — | | | | | | — | | | | | | 38,340 | | |
| | |
Option Awards
|
| |
Stock Awards
|
| ||||||||||||||||||||||||||||||||||||||||||||||||
Name
|
| |
Number of
Securities Underlying Unexercised Options (#) Exercisable |
| |
Number of
Securities Underlying Unexercised Options (#) Unexercisable |
| |
Equity Incentive
Plan Awards: Number of Securities Underlying Unexercised Unearned Options (#) |
| |
Option
Exercise Price ($) |
| |
Option
Expiration Date |
| |
Number of
Shares or Units of Stock that Have Not Vested (#) |
| |
Market Value
of Shares or Units of Stock that Have Not Vested ($) |
| |
Equity Incentive
Plan Awards: Number of Unearned Shares, Units or Other Rights That Have Not Vested (#) |
| |
Equity Incentive
Plan Awards: Market Payout Value of Unearned Shares, Units or Other Rights That Have Not Vested ($) |
| |||||||||||||||||||||||||||
Stephen Christopher Linthwaite
|
| | | | — | | | | | | 140,000(1) | | | | | | — | | | | | | 9.05 | | | | | | 8/9/2026 | | | | | | — | | | | | | — | | | | | | 14,000(2) | | | | | | 101,920(3) | | |
| | | — | | | | | | 140,000(4) | | | | | | — | | | | | | 4.99 | | | | | | 11/8/2026 | | | | | | — | | | | | | — | | | | | | — | | | | | | — | | | ||
Vikram Jog
|
| | | | 3,334(5) | | | | | | — | | | | | | — | | | | | | 14.60 | | | | | | 5/17/2021 | | | | | | 1,634(6) | | | | | | 11,896(3) | | | | | | — | | | | | | — | | |
| | | 12,501(5) | | | | | | — | | | | | | — | | | | | | 15.49 | | | | | | 2/17/2022 | | | | | | 2,601(7) | | | | | | 18,935(3) | | | | | | — | | | | | | — | | | ||
| | | 23,410(8) | | | | | | 1,042 | | | | | | — | | | | | | 16.73 | | | | | | 2/15/2023 | | | | | | 4,276(9) | | | | | | 31,129(3) | | | | | | — | | | | | | — | | | ||
| | | 10,208(10) | | | | | | 3,792 | | | | | | — | | | | | | 47.55 | | | | | | 3/14/2024 | | | | | | — | | | | | | — | | | | | | 5,400(11) | | | | | | 39,312(3) | | | ||
| | | 5,749(12) | | | | | | 6,251 | | | | | | — | | | | | | 41.14 | | | | | | 3/12/2025 | | | | | | — | | | | | | — | | | | | | — | | | | | | — | | | ||
| | | 3,093(13) | | | | | | 10,407 | | | | | | — | | | | | | 7.10 | | | | | | 3/4/2026 | | | | | | — | | | | | | — | | | | | | — | | | | | | — | | | ||
| | | | | | | | | | | | | | | 13,500(14) | | | | | | 7.10 | | | | | | 3/4/2026 | | | | | | — | | | | | | — | | | | | | — | | | | | | — | | | ||
Steven C. McPhail
|
| | | | 12,270(15) | | | | | | 18,730 | | | | | | — | | | | | | 25.23 | | | | | | 5/21/2015 | | | | | | 7,750(16) | | | | | | 56,420(3) | | | | | | — | | | | | | — | | |
| | | 3,093(13) | | | | | | 10,407 | | | | | | — | | | | | | 7.10 | | | | | | 3/4/2026 | | | | | | 4,276(9) | | | | | | 31,129(3) | | | | | | — | | | | | | — | | | ||
| | | — | | | | | | — | | | | | | 13,500(14) | | | | | | 7.10 | | | | | | 3/4/2026 | | | | | | — | | | | | | — | | | | | | 5,400(11) | | | | | | 39,312(3) | | | ||
Mai Chan (Grace) Yow
|
| | | | 834(5) | | | | | | — | | | | | | — | | | | | | 14.60 | | | | | | 5/17/2021 | | | | | | | | | | | | 11,896(3) | | | | | | — | | | | | | — | | |
| | | 17,859(5) | | | | | | — | | | | | | — | | | | | | 15.49 | | | | | | 2/17/2022 | | | | | | 1,634(6) | | | | | | 30,765(3) | | | | | | — | | | | | | — | | | ||
| | | 64,625(8) | | | | | | 1,375 | | | | | | — | | | | | | 16.73 | | | | | | 2/15/2023 | | | | | | 4,226(7) | | | | | | 31,129 | | | | | | — | | | | | | — | | | ||
| | | 10,208(10) | | | | | | 3,792 | | | | | | — | | | | | | 47.55 | | | | | | 3/14/2024 | | | | | | 4,276(9) | | | | | | — | | | | | | 5,400(11) | | | | | | 39,312(3) | | | ||
| | | 5,749(12) | | | | | | 6,251 | | | | | | — | | | | | | 41.14 | | | | | | 3/12/2025 | | | | | | — | | | | | | — | | | | | | — | | | | | | — | | | ||
| | | 3,093(13) | | | | | | 10,407 | | | | | | — | | | | | | 7.10 | | | | | | 3/4/2026 | | | | | | — | | | | | | — | | | | | | — | | | | | | — | | | ||
| | | — | | | | | | — | | | | | | 13,500(14) | | | | | | 7.10 | | | | | | 3/4/2026 | | | | | | — | | | | | | — | | | | | | — | | | | | | — | | | ||
Nicholas Khadder | | | | | — | | | | | | 27,000(17) | | | | | | — | | | | | | 9.05 | | | | | | 8/9/2026 | | | | | | 10,800(18) | | | | | | 78,624(3) | | | | | | — | | | | | | — | | |
Gajus V. Worthington
|
| | | | 8,243(5) | | | | | | — | | | | | | — | | | | | | 4.08 | | | | | | 11/17/2019 | | | | | | 7,584(6) | | | | | | 55,212(3) | | | | | | — | | | | | | — | | |
| | | 5,780(5) | | | | | | — | | | | | | — | | | | | | 4.08 | | | | | | 11/17/2019 | | | | | | 6,739(7) | | | | | | 49,060(3) | | | | | | — | | | | | | — | | | ||
| | | 5,780(5) | | | | | | — | | | | | | — | | | | | | 4.08 | | | | | | 11/17/2019 | | | | | | 10,688(9) | | | | | | 77,809(3) | | | | | | — | | | | | | — | | | ||
| | | 5,780(5) | | | | | | — | | | | | | — | | | | | | 8.37 | | | | | | 1/4/2021 | | | | | | — | | | | | | — | | | | | | — | | | | | | — | | | ||
| | | 5,203(5) | | | | | | — | | | | | | — | | | | | | 8.37 | | | | | | 1/4/2021 | | | | | | — | | | | | | — | | | | | | — | | | | | | — | | | ||
| | | 577(5) | | | | | | — | | | | | | — | | | | | | 8.37 | | | | | | 1/4/2021 | | | | | | — | | | | | | — | | | | | | — | | | | | | — | | | ||
| | | 70,000(5) | | | | | | — | | | | | | — | | | | | | 14.60 | | | | | | 5/17/2021 | | | | | | — | | | | | | — | | | | | | — | | | | | | — | | | ||
| | | 100,000(5) | | | | | | — | | | | | | — | | | | | | 15.49 | | | | | | 2/17/2022 | | | | | | — | | | | | | — | | | | | | — | | | | | | — | | | ||
| | | 112,604(8) | | | | | | 2,396 | | | | | | — | | | | | | 16.73 | | | | | | 2/15/2023 | | | | | | — | | | | | | — | | | | | | — | | | | | | — | | | ||
| | | 7,734(13) | | | | | | 26,016 | | | | | | — | | | | | | 7.10 | | | | | | 3/4/2026 | | | | | | — | | | | | | — | | | | | | — | | | | | | — | | | ||
William M. Smith
|
| | | | 3,727(5) | | | | | | — | | | | | | — | | | | | | 8.37 | | | | | | 1/4/2021 | | | | | | 1,634(6) | | | | | | 11,896(3) | | | | | | — | | | | | | — | | |
| | | 34,000(5) | | | | | | — | | | | | | — | | | | | | 14.60 | | | | | | 5/17/2021 | | | | | | 2,601(7) | | | | | | 18,935(3) | | | | | | — | | | | | | — | | | ||
| | | 37,250(5) | | | | | | — | | | | | | — | | | | | | 15.49 | | | | | | 2/17/2022 | | | | | | 4,276(9) | | | | | | 31,129 | | | | | | — | | | | | | — | | | ||
| | | 53,854(8) | | | | | | 1,146 | | | | | | — | | | | | | 16.73 | | | | | | 2/15/2023 | | | | | | — | | | | | | — | | | | | | 5,400(11) | | | | | | 39,312(3) | | | ||
| | | 10,208(10) | | | | | | 3,792 | | | | | | — | | | | | | 47.55 | | | | | | 3/14/2024 | | | | | | — | | | | | | — | | | | | | — | | | | | | — | | | ||
| | | 5,749(12) | | | | | | 6,251 | | | | | | — | | | | | | 41.14 | | | | | | 3/12/2025 | | | | | | — | | | | | | — | | | | | | — | | | | | | — | | | ||
| | | 3,093(13) | | | | | | 10,407 | | | | | | — | | | | | | 7.10 | | | | | | 3/4/2026 | | | | | | — | | | | | | — | | | | | | — | | | | | | — | | | ||
| | | | | | | | | | | | | | | 13,500(14) | | | | | | 7.10 | | | | | | 3/4/2026 | | | | | | — | | | | | | — | | | | | | — | | | | | | — | | | ||
Marc Unger
|
| | | | 934(5) | | | | | | — | | | | | | — | | | | | | 4.45 | | | | | | 8/26/2020 | | | | | | 1,634(6) | | | | | | 11,896(3) | | | | | | — | | | | | | — | | |
| | | 5,780(5) | | | | | | — | | | | | | — | | | | | | 8.37 | | | | | | 1/4/2021 | | | | | | 1,400(6) | | | | | | 10,192(3) | | | | | | — | | | | | | — | | | ||
| | | 270(5) | | | | | | — | | | | | | — | | | | | | 8.37 | | | | | | 1/4/2021 | | | | | | 2,601(7) | | | | | | 18,935(3) | | | | | | — | | | | | | — | | | ||
| | | 20,000(5) | | | | | | — | | | | | | — | | | | | | 14.55 | | | | | | 3/5/2022 | | | | | | 4,625(19) | | | | | | 33,670(3) | | | | | | — | | | | | | — | | | ||
| | | 53,854(8) | | | | | | 1,146 | | | | | | — | | | | | | 16.73 | | | | | | 2/15/2023 | | | | | | 4,276(9) | | | | | | 31,129 | | | | | | — | | | | | | — | | | ||
| | | 10,208(10) | | | | | | 3,792 | | | | | | — | | | | | | 47.55 | | | | | | 3/14/2024 | | | | | | — | | | | | | — | | | | | | 5,400(11) | | | | | | 39,312(3) | | | ||
| | | 8,750(10) | | | | | | 3,250 | | | | | | — | | | | | | 47.55 | | | | | | 3/14/2024 | | | | | | — | | | | | | — | | | | | | — | | | | | | — | | | ||
| | | 5,749(12) | | | | | | 6,251 | | | | | | — | | | | | | 41.14 | | | | | | 3/12/2025 | | | | | | — | | | | | | — | | | | | | — | | | | | | — | | | ||
| | | 3,750(20) | | | | | | 11,250(3) | | | | | | — | | | | | | 9.44 | | | | | | 12/14/2025 | | | | | | — | | | | | | — | | | | | | — | | | | | | — | | | ||
| | | 3,093(13) | | | | | | 10,407 | | | | | | — | | | | | | 7.10 | | | | | | 3/4/2026 | | | | | | — | | | | | | — | | | | | | — | | | | | | — | | | ||
| | | — | | | | | | — | | | | | | 13,500(14) | | | | | | 7.10 | | | | | | 3/4/2026 | | | | | | — | | | | | | — | | | | |
| | |
Option Awards
|
| |
Stock Awards
|
| ||||||||||||||||||
Name
|
| |
Number of
Shares Acquired on Exercise (#) |
| |
Value Realized
on Exercise ($) |
| |
Number of
Shares Acquired on Vesting (#) |
| |
Value Realized on
Vesting ($)(1) |
| ||||||||||||
Stephen Christopher Linthwaite
|
| | | | — | | | | | | — | | | | | | — | | | | | | — | | |
Vikram Jog
|
| | | | — | | | | | | — | | | | | | 3,724 | | | | | | 29,142 | | |
Steven C. McPhail
|
| | | | — | | | | | | — | | | | | | 7,774 | | | | | | 65,433 | | |
Mai Chan (Grace) Yow
|
| | | | — | | | | | | — | | | | | | 4,474 | | | | | | 34,902 | | |
Nicholas Khadder
|
| | | | — | | | | | | — | | | | | | — | | | | | | — | | |
Gajus V. Worthington
|
| | | | — | | | | | | — | | | | | | 12,422 | | | | | | 96,753 | | |
William M. Smith
|
| | | | — | | | | | | — | | | | | | 3,724 | | | | | | 29,142 | | |
Marc Unger
|
| | | | — | | | | | | — | | | | | | 6,299 | | | | | | 49,078 | | |
| | |
Employment Terminated
without Cause prior to, or more than 12 Months after, a Change of Control |
| |
Employment Terminated within
12 Months after a Change of Control(1) |
| ||||||||||||||||||||||||
Name
|
| |
Severance
Payments ($) |
| |
Health Care
Benefits ($) |
| |
Equity
Acceleration ($)(2) |
| |
Severance
Payments ($) |
| |
Health Care
Benefits ($) |
| |||||||||||||||
Stephen Christopher Linthwaite
|
| | | | 500,000(3) | | | | | | 28,089(4) | | | | | | 422,520 | | | | | | 500,000(3) | | | | | | 28,089(4) | | |
Vikram Jog
|
| | | | 169,750(5) | | | | | | 14,045(6) | | | | | | 105,575 | | | | | | 169,750(5) | | | | | | 14,045(6) | | |
Steven C. McPhail
|
| | | | 169,850(5) | | | | | | 14,045(6) | | | | | | 131,165 | | | | | | 169,850(5) | | | | | | 14,045(6) | | |
Mai Chan (Grace) Yow(7)
|
| | | | 147,428(5) | | | | | | 857(8) | | | | | | 117,405 | | | | | | 147,428(5) | | | | | | 857(6) | | |
Nicholas Khadder
|
| | | | 162,500(5) | | | | | | 14,684(6) | | | | | | 78,624 | | | | | | 162,500(5) | | | | | | 14,684(6) | | |
William M. Smith
|
| | | | 167,375(5) | | | | | | 10,294(6) | | | | | | 105,575 | | | | | | 167,375(5) | | | | | | 10,294(6) | | |
| | |
Number of
Securities to be Issued Upon Exercise of Outstanding Options, Warrants and Rights (a)(4) |
| |
Weighted
Average Exercise Price of Outstanding Options, Warrants and Rights (b) |
| |
Number of
Securities Remaining Available for Future Issuance Under Equity Compensation Plans (Excluding Securities Reflected in Column (a)) |
| |||||||||
Equity compensation plans approved by security holders | | | | | |||||||||||||||
1999 Stock Option Plan(1)
|
| | | | 4,951 | | | | | $ | 17.12 | | | | | | — | | |
2009 Equity Incentive Plan(2)
|
| | | | 212,140 | | | | | $ | 6.37 | | | | | | — | | |
2011 Equity Incentive Plan(3)
|
| | | | 4,360,176 | | | | | $ | 13.21 | | | | | | 510,237 | | |
Equity compensation plans not approved by security holders(4)
|
| | | | |||||||||||||||
DVS Sciences, Inc. 2010 Equity Incentive Plan(5)
|
| | | | 42,855 | | | | | $ | 1.31 | | | | | | — | | |
Total
|
| | | | 4,620,122 | | | | | $ | 12.79 | | | | | | 510,237 | | |
|
Name of Beneficial Owner
|
| |
Shares
Beneficially Owned |
| |
Percent of Shares
Beneficially Owned |
| ||||||
5% Stockholders: | | | | ||||||||||
Entities affiliated with Levin Capital Strategies, L.P.(1)
|
| | | | 7,522,529 | | | | | | 25.6% | | |
Entities affiliated with PRIMECAP Management Company(2)
|
| | | | 4,295,532 | | | | | | 14.6% | | |
Entities affiliated with BlackRock, Inc.(3)
|
| | | | 1,827,699 | | | | | | 6.2% | | |
Entities affiliated with Mubadala Development Company PJSC(4)
|
| | | | 1,599,069 | | | | | | 5.4% | | |
Entities affiliated with Adage Capital Partners, L.P.(5)
|
| | | | 1,546,209 | | | | | | 5.3% | | |
Directors and Named Executive Officers: | | | | ||||||||||
Stephen Christopher Linthwaite(6)
|
| | | | 124,611 | | | | | | * | | |
Nicolas M. Barthelemy(7)
|
| | | | 7,100 | | | | | | * | | |
Gerhard F. Burbach(8)
|
| | | | 72,000 | | | | | | * | | |
Samuel D. Colella(9)
|
| | | | 96,584 | | | | | | * | | |
Evan Jones(10)
|
| | | | 149,551 | | | | | | * | | |
Patrick S. Jones(11)
|
| | | | 96,000 | | | | | | * | | |
Carlos V. Paya
|
| | | | 0 | | | | | | * | | |
John A. Young(12)
|
| | | | 84,189 | | | | | | * | | |
Vikram Jog(13)
|
| | | | 88,237 | | | | | | * | | |
Nicholas S. Khadder(14)
|
| | | | 20,407 | | | | | | * | | |
Steven C. McPhail(15)
|
| | | | 38,114 | | | | | | * | | |
Mai Chan (Grace) Yow(16)
|
| | | | 130,022 | | | | | | * | | |
Gajus V. Worthington(17)
|
| | | | 377,441 | | | | | | 1.3% | | |
William M. Smith(18)
|
| | | | 4,487 | | | | | | * | | |
Marc Unger(19)
|
| | | | 133,933 | | | | | | * | | |
All directors and executive officers as a group (16 persons)(20)
|
| | | | 1,435,538 | | | | | | 4.7% | | |
| Employee’s Social | | | | |
| Security Number: | | | | |
|
Employee’s Address:
|
| | | |
|