SEC Form 4 · accession 0001162194-18-000116
STANDARD BIOTOOLS INC. · LAB
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Steven McPhail
Officer — Chief Commercial Officer
Period of report
Nov 20, 2018
Accepted (ET)
Nov 21, 2018 · 9:06 pm EST
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 | Nov 20, 2018 | M | 775 | $0.00 | A | 49,110 | D | |
| Common Stock | Nov 20, 2018 | M | 337 | $0.00 | A | 49,447 | D | |
| Common Stock | Nov 20, 2018 | M | 1,284 | $0.00 | A | 50,731 | D | |
| Common Stock | Nov 20, 2018 | M | 1,324 | $0.00 | A | 52,055 | D | |
| Common Stock | Nov 20, 2018 | F | 1,116 | $8.30 | D | 50,939 | D |
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,F2 | — | Nov 20, 2018 | M | 775 | D | — | — | Common Stock | 775 | 1,550 | D |
| Restricted Stock UnitsF1,F3 | — | Nov 20, 2018 | M | 337 | D | — | — | Common Stock | 337 | 1,576 | D |
| Restricted Stock UnitsF1,F4 | — | Nov 20, 2018 | M | 1,284 | D | — | — | Common Stock | 1,284 | 11,132 | D |
| Restricted Stock UnitsF1,F5 | — | Nov 20, 2018 | M | 1,324 | D | — | — | Common Stock | 1,324 | 18,538 | 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.
- F2On May 21, 2015, the Reporting Person was granted 12,400 Restricted Stock Units of which 12/48th 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 have vested and 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.
- F3On March 4, 2016, the Reporting Person was granted 5,400 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 have vested and 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 February 13, 2017, the Reporting Person was granted 20,550 Restricted Stock Units of which 4/48th of the total number of shares underlying the Restricted Stock Units granted vested on May 20, 2017, and 3/48th of the total number of shares underlying the Restricted Stock Units granted have vested and 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 June 11, 2018, the Reporting Person was granted 21,186 Restricted Stock Units of which 3/48th of the total number of shares underlying the Restricted Stock Units granted vested on August 20, 2018, and 3/48th of the total number of shares underlying the Restricted Stock Units granted have vested and 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.