Home/Filings/4/0000921895-16-006026

4//SEC Filing

LCS L/S, LLC 4

Accession 0000921895-16-006026

CIK 0001162194other

View on SEC.gov Company Profile

Filed

Nov 6, 7:00 PM ET

Accepted

Nov 7, 6:25 PM ET

Size

32.8 KB

Accession

0000921895-16-006026

Insider Transaction Report

Form 4

Period: 2016-11-03

FLUIDIGM CORPFLDM

Safinia Partners, L.P.

10% OwnerOther

Transactions

Purchase
Common Stock
2016-11-03$4.43/sh+80,000$354,648→ 6,264,543 total(indirect: By: Managed Accounts of Levin Capital Strategies, L.P.)
Purchase
Common Stock
2016-11-04$4.42/sh+11,784$52,104→ 6,337,743 total(indirect: By: Managed Accounts of Levin Capital Strategies, L.P.)
Purchase
Common Stock
2016-11-03$4.45/sh+61,416$273,510→ 6,325,959 total(indirect: By: Managed Accounts of Levin Capital Strategies, L.P.)
Purchase
Common Stock
2016-11-07$4.38/sh+6,000$26,309→ 6,343,743 total(indirect: By: Managed Accounts of Levin Capital Strategies, L.P.)

Holdings

Common Stock
(indirect: By: Levin Capital Trilogy Master Fund, Ltd.)
51,068
Common Stock
(indirect: By: Transamerica Large Cap Value Fund)
1,098,376
Common Stock
(indirect: By: Levcap Alternative Fund, L.P.)
22,453
Common Stock
(indirect: By: Safinia Partners, L.P.)
9,252

Levin Capital Trilogy Master Fund, Ltd.

10% OwnerOther

Transactions

Purchase
Common Stock
2016-11-07$4.38/sh+6,000$26,309→ 6,343,743 total(indirect: By: Managed Accounts of Levin Capital Strategies, L.P.)
Purchase
Common Stock
2016-11-03$4.43/sh+80,000$354,648→ 6,264,543 total(indirect: By: Managed Accounts of Levin Capital Strategies, L.P.)
Purchase
Common Stock
2016-11-03$4.45/sh+61,416$273,510→ 6,325,959 total(indirect: By: Managed Accounts of Levin Capital Strategies, L.P.)
Purchase
Common Stock
2016-11-04$4.42/sh+11,784$52,104→ 6,337,743 total(indirect: By: Managed Accounts of Levin Capital Strategies, L.P.)

Holdings

Common Stock
(indirect: By: Transamerica Large Cap Value Fund)
1,098,376
Common Stock
(indirect: By: Levin Capital Trilogy Master Fund, Ltd.)
51,068
Common Stock
(indirect: By: Levcap Alternative Fund, L.P.)
22,453
Common Stock
(indirect: By: Safinia Partners, L.P.)
9,252

LCS, LLC

10% OwnerOther

Transactions

Purchase
Common Stock
2016-11-03$4.43/sh+80,000$354,648→ 6,264,543 total(indirect: By: Managed Accounts of Levin Capital Strategies, L.P.)
Purchase
Common Stock
2016-11-03$4.45/sh+61,416$273,510→ 6,325,959 total(indirect: By: Managed Accounts of Levin Capital Strategies, L.P.)
Purchase
Common Stock
2016-11-04$4.42/sh+11,784$52,104→ 6,337,743 total(indirect: By: Managed Accounts of Levin Capital Strategies, L.P.)
Purchase
Common Stock
2016-11-07$4.38/sh+6,000$26,309→ 6,343,743 total(indirect: By: Managed Accounts of Levin Capital Strategies, L.P.)

Holdings

Common Stock
(indirect: By: Transamerica Large Cap Value Fund)
1,098,376
Common Stock
(indirect: By: Levin Capital Trilogy Master Fund, Ltd.)
51,068
Common Stock
(indirect: By: Levcap Alternative Fund, L.P.)
22,453
Common Stock
(indirect: By: Safinia Partners, L.P.)
9,252

LCS Event Partners, LLC

10% OwnerOther

Transactions

Purchase
Common Stock
2016-11-03$4.43/sh+80,000$354,648→ 6,264,543 total(indirect: By: Managed Accounts of Levin Capital Strategies, L.P.)
Purchase
Common Stock
2016-11-03$4.45/sh+61,416$273,510→ 6,325,959 total(indirect: By: Managed Accounts of Levin Capital Strategies, L.P.)
Purchase
Common Stock
2016-11-04$4.42/sh+11,784$52,104→ 6,337,743 total(indirect: By: Managed Accounts of Levin Capital Strategies, L.P.)
Purchase
Common Stock
2016-11-07$4.38/sh+6,000$26,309→ 6,343,743 total(indirect: By: Managed Accounts of Levin Capital Strategies, L.P.)

Holdings

Common Stock
(indirect: By: Transamerica Large Cap Value Fund)
1,098,376
Common Stock
(indirect: By: Levcap Alternative Fund, L.P.)
22,453
Common Stock
(indirect: By: Safinia Partners, L.P.)
9,252
Common Stock
(indirect: By: Levin Capital Trilogy Master Fund, Ltd.)
51,068

LEVIN JOHN A

10% OwnerOther

Transactions

Purchase
Common Stock
2016-11-04$4.42/sh+11,784$52,104→ 6,337,743 total(indirect: By: Managed Accounts of Levin Capital Strategies, L.P.)
Purchase
Common Stock
2016-11-07$4.38/sh+6,000$26,309→ 6,343,743 total(indirect: By: Managed Accounts of Levin Capital Strategies, L.P.)
Purchase
Common Stock
2016-11-03$4.43/sh+80,000$354,648→ 6,264,543 total(indirect: By: Managed Accounts of Levin Capital Strategies, L.P.)
Purchase
Common Stock
2016-11-03$4.45/sh+61,416$273,510→ 6,325,959 total(indirect: By: Managed Accounts of Levin Capital Strategies, L.P.)

Holdings

Common Stock
(indirect: By: Safinia Partners, L.P.)
9,252
Common Stock
(indirect: By: Transamerica Large Cap Value Fund)
1,098,376
Common Stock
(indirect: By: Levin Capital Trilogy Master Fund, Ltd.)
51,068
Common Stock
(indirect: By: Levcap Alternative Fund, L.P.)
22,453

LEVIN CAPITAL STRATEGIES, L.P.

10% OwnerOther

Transactions

Purchase
Common Stock
2016-11-03$4.43/sh+80,000$354,648→ 6,264,543 total(indirect: By: Managed Accounts of Levin Capital Strategies, L.P.)
Purchase
Common Stock
2016-11-03$4.45/sh+61,416$273,510→ 6,325,959 total(indirect: By: Managed Accounts of Levin Capital Strategies, L.P.)
Purchase
Common Stock
2016-11-07$4.38/sh+6,000$26,309→ 6,343,743 total(indirect: By: Managed Accounts of Levin Capital Strategies, L.P.)
Purchase
Common Stock
2016-11-04$4.42/sh+11,784$52,104→ 6,337,743 total(indirect: By: Managed Accounts of Levin Capital Strategies, L.P.)

Holdings

Common Stock
(indirect: By: Transamerica Large Cap Value Fund)
1,098,376
Common Stock
(indirect: By: Levin Capital Trilogy Master Fund, Ltd.)
51,068
Common Stock
(indirect: By: Levcap Alternative Fund, L.P.)
22,453
Common Stock
(indirect: By: Safinia Partners, L.P.)
9,252

Levin Capital Strategies GP, LLC

10% OwnerOther

Transactions

Purchase
Common Stock
2016-11-03$4.43/sh+80,000$354,648→ 6,264,543 total(indirect: By: Managed Accounts of Levin Capital Strategies, L.P.)
Purchase
Common Stock
2016-11-03$4.45/sh+61,416$273,510→ 6,325,959 total(indirect: By: Managed Accounts of Levin Capital Strategies, L.P.)
Purchase
Common Stock
2016-11-04$4.42/sh+11,784$52,104→ 6,337,743 total(indirect: By: Managed Accounts of Levin Capital Strategies, L.P.)
Purchase
Common Stock
2016-11-07$4.38/sh+6,000$26,309→ 6,343,743 total(indirect: By: Managed Accounts of Levin Capital Strategies, L.P.)

Holdings

Common Stock
(indirect: By: Levin Capital Trilogy Master Fund, Ltd.)
51,068
Common Stock
(indirect: By: Levcap Alternative Fund, L.P.)
22,453
Common Stock
(indirect: By: Safinia Partners, L.P.)
9,252
Common Stock
(indirect: By: Transamerica Large Cap Value Fund)
1,098,376

Levcap Alternative Fund, L.P.

10% OwnerOther

Transactions

Purchase
Common Stock
2016-11-03$4.43/sh+80,000$354,648→ 6,264,543 total(indirect: By: Managed Accounts of Levin Capital Strategies, L.P.)
Purchase
Common Stock
2016-11-03$4.45/sh+61,416$273,510→ 6,325,959 total(indirect: By: Managed Accounts of Levin Capital Strategies, L.P.)
Purchase
Common Stock
2016-11-07$4.38/sh+6,000$26,309→ 6,343,743 total(indirect: By: Managed Accounts of Levin Capital Strategies, L.P.)
Purchase
Common Stock
2016-11-04$4.42/sh+11,784$52,104→ 6,337,743 total(indirect: By: Managed Accounts of Levin Capital Strategies, L.P.)

Holdings

Common Stock
(indirect: By: Transamerica Large Cap Value Fund)
1,098,376
Common Stock
(indirect: By: Levin Capital Trilogy Master Fund, Ltd.)
51,068
Common Stock
(indirect: By: Levcap Alternative Fund, L.P.)
22,453
Common Stock
(indirect: By: Safinia Partners, L.P.)
9,252

LCS L/S, LLC

10% OwnerOther

Transactions

Purchase
Common Stock
2016-11-03$4.43/sh+80,000$354,648→ 6,264,543 total(indirect: By: Managed Accounts of Levin Capital Strategies, L.P.)
Purchase
Common Stock
2016-11-03$4.45/sh+61,416$273,510→ 6,325,959 total(indirect: By: Managed Accounts of Levin Capital Strategies, L.P.)
Purchase
Common Stock
2016-11-04$4.42/sh+11,784$52,104→ 6,337,743 total(indirect: By: Managed Accounts of Levin Capital Strategies, L.P.)
Purchase
Common Stock
2016-11-07$4.38/sh+6,000$26,309→ 6,343,743 total(indirect: By: Managed Accounts of Levin Capital Strategies, L.P.)

Holdings

Common Stock
(indirect: By: Transamerica Large Cap Value Fund)
1,098,376
Common Stock
(indirect: By: Levin Capital Trilogy Master Fund, Ltd.)
51,068
Common Stock
(indirect: By: Levcap Alternative Fund, L.P.)
22,453
Common Stock
(indirect: By: Safinia Partners, L.P.)
9,252

Footnotes (9)

[F1]This Form 4 is filed jointly by Levin Capital Strategies, L.P. ("LCS"), Levin Capital Strategies GP, LLC ("LCS GP"), Levin Capital Trilogy Master Fund, Ltd. ("Trilogy"), LCS, LLC ("LCSL"), Levcap Alternative Fund, L.P. ("Levcap"), LCS Event Partners, LLC ("LCSEP"), Safinia Partners, L.P. ("Safinia"), LCS L/S, LLC ("LCSLS"), and John A. Levin (collectively, the "Reporting Persons"). The Reporting Persons are passive investors in the Issuer and are voluntarily filing this Form 4 as a result of acquiring over 20% of the Issuer's outstanding shares of Common Stock. The Reporting Persons have not acquired the shares with a purpose or effect of changing or influencing control of the Issuer.
[F2]Pursuant to Rule 16a-1(a)(4) under the Securities Exchange Act of 1934, as amended (the "Exchange Act"), this filing shall not be construed as an admission that the Reporting Persons are, for purposes of Section 16 of the Exchange Act or otherwise, the beneficial owners of any of the securities reported herein under Section 16 or otherwise. Each of the Reporting Persons specifically disclaims beneficial ownership of the securities reported herein that are not directly owned by such Reporting Person, except to the extent of their pecuniary interest therein.
[F3]Shares held in certain separately managed accounts (the "Managed Accounts"). LCS, as the investment manager to the Managed Accounts, may be deemed to beneficially own such shares. LCS does not have a reportable pecuniary interest under Section 16a-1(a)(2) of the Exchange Act in the shares held in the Managed Accounts, as LCS receives an asset-based management fee for serving as investment manager to the Managed Accounts, except that with respect to 50,711 shares held in the Managed Accounts, LCS receives a performance-based incentive fee. The performance-based incentive fee LCS receives also does not constitute a reportable pecuniary interest under Section 16a-1(a)(2) of the Exchange Act, as such fee is based on the performance of the overall account, over a period of one year or more, and the shares of the Issuer held in such accounts constitute no more than 10% of the market value thereof.
[F4]For the reasons set forth in footnote 3, none of LCS GP, Trilogy, LCSL, Levcap, LCSEP, Safinia, LCSLS and Mr. Levin have a reportable pecuniary interest in the shares held in the Managed Accounts.
[F5]Shares held by the Transamerica Large Cap Value Fund ("Transamerica"). LCS, as the sub-investment advisor to Transamerica, may be deemed to share voting and dispositive power over the shares held by Transamerica. LCS receives an asset-based management fee for serving as sub-investment advisor to Transamerica. Accordingly, LCS does not have a reportable pecuniary interest in the shares held by Transamerica. In addition, none of LCS GP, Trilogy, LCSL, Levcap, LCSEP, Safinia, LCSLS and Mr. Levin have a reportable pecuniary interest in the shares held by Transamerica.
[F6]Shares owned directly by Trilogy. LCSL, as the general partner of the domestic feeder fund which owns a controlling interest in Trilogy, may be deemed to share voting and dispositive power over the shares owned directly by Trilogy. LCS, as the investment advisor of Trilogy, may be deemed to share voting and dispositive power over the shares owned directly by Trilogy. Mr. Levin, as the Chief Executive Officer of LCS, may be deemed to share voting and dispositive power over the shares owned directly by Trilogy.
[F7]Shares owned directly by Levcap. LCSEP, as the general partner of Levcap, may be deemed to share voting and dispositive power over the shares owned directly by Levcap. LCS, as the investment advisor of Levcap, may be deemed to share voting and dispositive power over the shares owned directly by Levcap. Mr. Levin, as the Chief Executive Officer of LCS, may be deemed to share voting and dispositive power over the shares owned directly by Levcap.
[F8]Shares owned directly by Safinia. LCSLS, as the general partner of Safinia, may be deemed to share voting and dispositive power over the shares owned directly by Safinia. LCS, as the investment advisor of Safinia, may be deemed to share voting and dispositive power over the shares owned directly by Safinia. Mr. Levin, as the Chief Executive Officer of LCS, may be deemed to share voting and dispositive power over the shares owned directly by Safinia.
[F9]The prices reported in Column 4 are a weighted average price. The 80,000, 61,416, 11,784 and 6,000 shares were purchased in multiple transactions at prices ranging from $4.43 to $4.435, $4.4325 to $4.50, $4.38 to $4.435 and $4.34 to $4.435, respectively. The Reporting Persons undertake to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares purchased at each separate price within the ranges set forth in this footnote 9 to this Form 4.

Documents

1 file

4
form410737001_11072016.xmlPrimary
OWNERSHIP DOCUMENT

Issuer

FLUIDIGM CORP

CIK 0001162194

→

Entity typeother

IncorporatedDE

Related Parties

filerCIK 0001688301

Filing Metadata

Form type: 4
Filed: Nov 6, 7:00 PM ET
Accepted: Nov 7, 6:25 PM ET
Size: 32.8 KB

View on SEC.gov