SEC Form 4 · accession 0000899243-15-004471
STANDARD BIOTOOLS INC. · LAB
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Gajus Vincent Worthington
Officer — PRESIDENT & CEO · Director
Period of report
Sep 1, 2015
Accepted (ET)
Sep 3, 2015 · 8:00 pm EDT
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001162194
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common Stock | Sep 1, 2015 | M | 715 | $4.4461 | A | 7,530 | D | |
| Common Stock | Sep 1, 2015 | M | 5,285 | $4.0828 | A | 12,815 | D | |
| Common StockF3 | Sep 1, 2015 | S | 6,000 | $11.826 | D | 6,815 | D | |
| Common Stock | Sep 2, 2015 | M | 6,000 | $4.0828 | A | 12,815 | D | |
| Common StockF4 | Sep 2, 2015 | S | 6,000 | $11.2346 | D | 6,815 | D | |
| Common StockF1 | holding | — | — | — | 33,029 | I | See Footnote |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Employee Stock Option (Right to Buy)F5 | $4.4461 | Sep 1, 2015 | M | 715 | D | — | May 7, 2017 | Common Stock | 715 | 0 | D |
| Employee Stock Option (Right to Buy)F6 | $4.0828 | Sep 1, 2015 | M | 5,285 | D | — | Nov 17, 2019 | Common Stock | 5,285 | 9,729 | D |
| Employee Stock Option (Right to Buy)F6 | $4.0828 | Sep 2, 2015 | M | 6,000 | D | — | Nov 17, 2019 | Common Stock | 6,000 | 3,729 | D |
Explanation of responses
- F1Shares held directly by the Worthingon Family Trust dated March 6, 2007, a trust for the benefit of the Reporting Person and the Reporting Person's spouse, for which the Reporting Person and the Reporting Person's spouse serve as trustees.
- F2The sales reported were effected pursuant to a Rule 10b5-1 trading plan adopted on August 29, 2014.
- F3The "Amount" and "Price" reported in this Column 4 reflect the aggregate number and weighted-average price, respectively, of shares sold. These shares were sold in multiple transactions at prices ranging from $11.56 to $12.16, inclusive. The reporting person undertakes to provide to the issuer, any security holder of the issuer, or the SEC staff, upon request, full information regarding the number of shares sold at each separate price within the range set forth herein.
- F4The "Amount" and "Price" reported in this Column 4 reflect the aggregate number and weighted-average price, respectively, of shares sold. These shares were sold in multiple transactions at prices ranging from $11.17 to $11.28, inclusive. The reporting person undertakes to provide to the issuer, any security holder of the issuer, or the SEC staff, upon request, full information regarding the number of shares sold at each separate price within the range set forth herein.
- F5The shares subject to the Option fully vested on May 1, 2010.
- F6The shares subject to the Option fully vested on November 17, 2013.