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4//SEC Filing

Levin Capital Strategies GP, LLC 4

Accession 0000921895-18-002699

CIK 0001162194other
View on SEC.govCompany Profile

Filed

Oct 2, 8:00 PM ET

Accepted

Oct 3, 6:16 PM ET

Size

26.0 KB

Accession

0000921895-18-002699

Insider Transaction Report

Form 4
Period: 2018-10-01
FLUIDIGM CORPFLDM
LEVIN CAPITAL STRATEGIES, L.P.
10% OwnerOther
Transactions
  • Purchase

    Common Stock

    2018-10-01$7.56/sh+24$181→ 11,267,204 total(indirect: By: Managed Accounts of Levin Capital Strategies, L.P.)
Holdings

  • Common Stock

    (indirect: By: Bi-Directional Disequilibrium Fund, L.P.)
    95,606

  • Common Stock

    (indirect: By: Transamerica Large Cap Value Fund)
    1,305,269

  • Common Stock

    (indirect: By: Levcap Alternative Fund, L.P.)
    56,820

  • Common Stock

    (indirect: By: Safinia Partners, L.P.)
    19,818

  • Common Stock

    (indirect: By Spouse)
    5,000
Levin Capital Strategies GP, LLC
10% OwnerOther
Transactions
  • Purchase

    Common Stock

    2018-10-01$7.56/sh+24$181→ 11,267,204 total(indirect: By: Managed Accounts of Levin Capital Strategies, L.P.)
Holdings

  • Common Stock

    (indirect: By: Bi-Directional Disequilibrium Fund, L.P.)
    95,606

  • Common Stock

    (indirect: By: Transamerica Large Cap Value Fund)
    1,305,269

  • Common Stock

    (indirect: By: Levcap Alternative Fund, L.P.)
    56,820

  • Common Stock

    (indirect: By Spouse)
    5,000

  • Common Stock

    (indirect: By: Safinia Partners, L.P.)
    19,818
Levin Capital Trilogy Master Fund, Ltd.
10% OwnerOther
Transactions
  • Purchase

    Common Stock

    2018-10-01$7.56/sh+24$181→ 11,267,204 total(indirect: By: Managed Accounts of Levin Capital Strategies, L.P.)
Holdings

  • Common Stock

    (indirect: By: Transamerica Large Cap Value Fund)
    1,305,269

  • Common Stock

    (indirect: By Spouse)
    5,000

  • Common Stock

    (indirect: By: Bi-Directional Disequilibrium Fund, L.P.)
    95,606

  • Common Stock

    (indirect: By: Levcap Alternative Fund, L.P.)
    56,820

  • Common Stock

    (indirect: By: Safinia Partners, L.P.)
    19,818
Levcap Alternative Fund, L.P.
10% OwnerOther
Transactions
  • Purchase

    Common Stock

    2018-10-01$7.56/sh+24$181→ 11,267,204 total(indirect: By: Managed Accounts of Levin Capital Strategies, L.P.)
Holdings

  • Common Stock

    (indirect: By: Bi-Directional Disequilibrium Fund, L.P.)
    95,606

  • Common Stock

    (indirect: By: Transamerica Large Cap Value Fund)
    1,305,269

  • Common Stock

    (indirect: By: Levcap Alternative Fund, L.P.)
    56,820

  • Common Stock

    (indirect: By: Safinia Partners, L.P.)
    19,818

  • Common Stock

    (indirect: By Spouse)
    5,000
Safinia Partners, L.P.
10% OwnerOther
Transactions
  • Purchase

    Common Stock

    2018-10-01$7.56/sh+24$181→ 11,267,204 total(indirect: By: Managed Accounts of Levin Capital Strategies, L.P.)
Holdings

  • Common Stock

    (indirect: By: Bi-Directional Disequilibrium Fund, L.P.)
    95,606

  • Common Stock

    (indirect: By: Transamerica Large Cap Value Fund)
    1,305,269

  • Common Stock

    (indirect: By Spouse)
    5,000

  • Common Stock

    (indirect: By: Levcap Alternative Fund, L.P.)
    56,820

  • Common Stock

    (indirect: By: Safinia Partners, L.P.)
    19,818
LCS Event Partners, LLC
10% OwnerOther
Transactions
  • Purchase

    Common Stock

    2018-10-01$7.56/sh+24$181→ 11,267,204 total(indirect: By: Managed Accounts of Levin Capital Strategies, L.P.)
Holdings

  • Common Stock

    (indirect: By: Levcap Alternative Fund, L.P.)
    56,820

  • Common Stock

    (indirect: By Spouse)
    5,000

  • Common Stock

    (indirect: By: Transamerica Large Cap Value Fund)
    1,305,269

  • Common Stock

    (indirect: By: Safinia Partners, L.P.)
    19,818

  • Common Stock

    (indirect: By: Bi-Directional Disequilibrium Fund, L.P.)
    95,606
LCS L/S, LLC
10% OwnerOther
Transactions
  • Purchase

    Common Stock

    2018-10-01$7.56/sh+24$181→ 11,267,204 total(indirect: By: Managed Accounts of Levin Capital Strategies, L.P.)
Holdings

  • Common Stock

    (indirect: By: Safinia Partners, L.P.)
    19,818

  • Common Stock

    (indirect: By: Bi-Directional Disequilibrium Fund, L.P.)
    95,606

  • Common Stock

    (indirect: By: Transamerica Large Cap Value Fund)
    1,305,269

  • Common Stock

    (indirect: By: Levcap Alternative Fund, L.P.)
    56,820

  • Common Stock

    (indirect: By Spouse)
    5,000
LEVIN JOHN A
10% OwnerOther
Transactions
  • Purchase

    Common Stock

    2018-10-01$7.56/sh+24$181→ 11,267,204 total(indirect: By: Managed Accounts of Levin Capital Strategies, L.P.)
Holdings

  • Common Stock

    (indirect: By: Levcap Alternative Fund, L.P.)
    56,820

  • Common Stock

    (indirect: By: Safinia Partners, L.P.)
    19,818

  • Common Stock

    (indirect: By Spouse)
    5,000

  • Common Stock

    (indirect: By: Bi-Directional Disequilibrium Fund, L.P.)
    95,606

  • Common Stock

    (indirect: By: Transamerica Large Cap Value Fund)
    1,305,269
Footnotes (9)
  • [F1]This Form 4 is filed jointly by Levin Capital Strategies, L.P. ("LCS"), Levin Capital Strategies GP, LLC ("LCS GP"), Bi-Directional Disequilibrium Fund, L.P. ("BDD")(formerly known as Levin Capital Trilogy Master Fund, Ltd.), 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 127,460 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, BDD, 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 separate managed account 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, BDD, Levcap, LCSEP, Safinia, LCSLS and Mr. Levin have a reportable pecuniary interest in the shares held by Transamerica.
  • [F6]Shares owned directly by BDD. LCS, as the investment advisor of BDD, may be deemed to share voting and dispositive power over the shares owned directly by BDD. Mr. Levin, as the Chief Executive Officer of LCS, may be deemed to share voting and dispositive power over the shares owned directly by BDD.
  • [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]Shares owned directly by the spouse of Mr. Levin. Mr. Levin has investment discretion over such shares.

Documents

1 file

Issuer

FLUIDIGM CORP

CIK 0001162194

→
Entity typeother
IncorporatedDE

Related Parties

1
  • filerCIK 0001688305

Filing Metadata

Form type
4
Filed
Oct 2, 8:00 PM ET
Accepted
Oct 3, 6:16 PM ET
Size
26.0 KB
View on SEC.gov