SEC Form 4 · accession 0001162194-16-000226
STANDARD BIOTOOLS INC. · LAB
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Gajus Vincent Worthington
Officer — CHIEF EXECUTIVE OFFICER · Director
Period of report
Aug 22, 2016
Accepted (ET)
Aug 23, 2016 · 7:00 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 StockF1 | Aug 22, 2016 | M | 1,625 | — | A | 13,138 | D | |
| Common StockF1 | Aug 22, 2016 | M | 778 | — | A | 13,916 | D | |
| Common StockF1 | Aug 22, 2016 | M | 844 | — | A | 14,760 | D | |
| Common Stock | Aug 22, 2016 | F | 1,222 | $9.40 | D | 13,538 | D | |
| Common StockF2 | 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 |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Restricted Stock UnitsF1,F3 | — | Aug 22, 2016 | M | 1,625 | D | — | — | Common Stock | 1,625 | 9,209 | D |
| Restricted Stock UnitsF1,F4 | — | Aug 22, 2016 | M | 778 | D | — | — | Common Stock | 778 | 7,516 | D |
| Restricted Stock UnitsF1,F5 | — | Aug 22, 2016 | M | 844 | D | — | — | Common Stock | 844 | 11,532 | D |
Explanation of responses
- F1Each Restricted Stock Unit represents the contingent right to receive one share of FLDM common stock upon vesting of the unit.
- F2Shares held directly by the Worthington 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.
- F3On March 14, 2014, the Reporting Person was granted 26,000 Restricted Stock Units of which 4/48th of the total number of shares underlying the Restricted Stock Units granted vested on May 20, 2014, and 3/48th of the total number of shares underlying the Restricted Stock Units granted will vest every three months thereafter until fully vested, subject to recipient's continued status as a Service Provider as defined in the Company's 2011 Equity Incentive Plan through the applicable vest date.
- F4On March 12, 2015, the Reporting Person was granted 12,440 Restricted Stock Units of which 4/48th of the total number of shares underlying the Restricted Stock Units granted vested on May 20, 2015, and 3/48th of the total number of shares underlying the Restricted Stock Units granted will vest every three months thereafter until fully vested, subject to recipient's continued status as a Service Provider as defined in the Company's 2011 Equity Incentive Plan through the applicable vest date.
- F5On March 4, 2016, the Reporting Person was granted 13,500 Restricted Stock Units of which 4/48th of the total number of shares underlying the Restricted Stock Units granted vested on May 20, 2016, and 3/48th of the total number of shares underlying the Restricted Stock Units granted will vest every three months thereafter until fully vested, subject to recipient's continued status as a Service Provider as defined in the Company's 2011 Equity Incentive Plan through the applicable vest date.