SEC FORM
3
SEC Form 3
FORM 3 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549
INITIAL STATEMENT OF BENEFICIAL OWNERSHIP OF SECURITIES
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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OMB APPROVAL |
OMB Number: |
3235-0104 |
Estimated average burden |
hours per response: |
0.5 |
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1. Name and Address of Reporting Person*
(Street)
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2. Date of Event Requiring Statement
(Month/Day/Year) 02/09/2011
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3. Issuer Name and Ticker or Trading Symbol
FLUIDIGM CORP
[ FLDM ]
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4. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
X |
Director |
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10% Owner |
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Officer (give title below) |
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Other (specify below) |
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5. If Amendment, Date of Original Filed
(Month/Day/Year)
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6. Individual or Joint/Group Filing (Check Applicable Line)
X |
Form filed by One Reporting Person |
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Form filed by More than One Reporting Person |
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Table I - Non-Derivative Securities Beneficially Owned |
1. Title of Security (Instr.
4)
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2.
Amount of Securities Beneficially Owned (Instr.
4)
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3. Ownership Form: Direct (D) or Indirect (I) (Instr.
5)
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4. Nature of Indirect Beneficial Ownership (Instr.
5)
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Table II - Derivative Securities Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities)
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1. Title of Derivative Security (Instr.
4)
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2. Date Exercisable and Expiration Date
(Month/Day/Year) |
3. Title and Amount of Securities Underlying Derivative Security (Instr.
4)
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4. Conversion or Exercise Price of Derivative Security
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5. Ownership Form: Direct (D) or Indirect (I) (Instr.
5)
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6. Nature of Indirect Beneficial Ownership (Instr.
5)
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Date Exercisable |
Expiration Date |
Title |
Amount or Number of Shares |
Series E Preferred Warrant (Right to Buy) |
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Common Stock |
43,853
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24.22 |
I |
I
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Series E Preferred Stock |
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Common Stock |
1,047,955
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0 |
I |
I
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Series D Preferred Stock |
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Common Stock |
623,531
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0 |
I |
I
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Series C Preferred Stock |
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Common Stock |
128,025
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0 |
I |
I
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Stock Option (Right to Buy) |
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Common Stock |
8,670 |
8.38 |
D
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Explanation of Responses: |
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Stephanie K. Sterling, attorney-in-fact for Jeremy Loh |
02/09/2011 |
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** 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
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). |
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. |
POWER OF ATTORNEY
The undersigned, as a Section 16 reporting person
of Fluidigm Corporation (the Company) hereby
constitutes and appoints the responsible
attorneys and paralegals of Gibson, Dunn Crutcher
LLP, and each of them, as the undersigned's true
and lawful attorney-in-fact to:
(1) complete and execute Forms ID, 3,4 and 5 and
other forms and all amendments thereto as such
attorney-in-fact shall in his or her discretion
determine to be required or advisable pursuant
to Section 16 of the Securities Exchange Act of
1934 (as amended) and the rules and regulations
promulgated thereunder, or any successor laws
and regulations as a consequence of the
undersigned's ownership, acquisition or
disposition of securities of the Company; and
(2) do all acts necessary in order to file such
forms with the Securities and Exchange
Commission, any securities exchange or national
association, the Company and such other person
or agency as the attorney-in-fact shall deem
appropriate.
The undersigned hereby ratifies and confirms
all that said attorney-in-fact and agents shall
do or cause to be done by virtue hereof. The
undersigned acknowledges that the foregoing
attorney-in-fact, in serving in such capacity
at the request of the undersigned, are not
assuming, nor is the Company
assuming, any of the undersigned's
responsibilities to comply with Section 16 of
the Securities Exchange Act of 1934 (as
amended).
This Power of Attorney shall remain in full
force and effect until the undersigned is no
longer required to file Forms ID, 3, 4 and 5
with respect to the undersigned's holdings of
and transactions in securities issued by the
Company, unless earlier revoked by the
undersigned in a signed writing delivered to
the Company and the foregoing attorney-in-fact.
IN WITNESS WHEREOF, the undersigned has caused
this Power of Attorney to be executed as of
this 8th day of February, 2011.
Signature: /s/ Jeremy Loh