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LAB

STANDARD BIOTOOLS INC.

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6116
SEC CIK
0001162194
Parsed reports
516

Last 12 months

Inside the activity.

15 purchase rows · 0 sale rows

Disclosed non-derivative P/S rows, by transaction month. Includes amendments and private transactions.
Monthly counts
MonthPurchasesSales
Nov 2025120
Dec 202530
Jan 202600
Feb 202600
Mar 202600
Apr 202600
May 202600
Jun 202600
Jul 202600
Aug 202600
Sep 202600
Oct 202600

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Purchases/sales include open-market and private transactions. Plan disclosure applies to the filing; individual rows may differ. “Not disclosed” is not “unplanned.”

The cutoff filters transaction history only. Company summaries and owner relationships show the latest available disclosures. Parser corrections can improve historical records.

Transaction dateOwner / reported roleActivity / securityShares / unitsReported priceReported valueDetails
February 20, 2019 Filed Feb 22, 2019 02:08 UTC
JOG VIKRAMCHIEF FINANCIAL OFFICER
Exercise / conversionCommon Stock 2,162 $0.00 $0.00
Disclosure

SEC source: 0001162194-19-000015 · wf-form4_155080132376602.xml · nonDerivative · entry 3

JOG VIKRAM · CIK 0001222641 · CHIEF FINANCIAL OFFICER

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 35,170

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

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February 20, 2019 Filed Feb 22, 2019 02:08 UTC
JOG VIKRAMCHIEF FINANCIAL OFFICER
Exercise / conversionCommon Stock 338 $0.00 $0.00
Disclosure

SEC source: 0001162194-19-000015 · wf-form4_155080132376602.xml · nonDerivative · entry 2

JOG VIKRAM · CIK 0001222641 · CHIEF FINANCIAL OFFICER

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 33,008

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

Read SEC document
February 20, 2019 Filed Feb 22, 2019 02:08 UTC
JOG VIKRAMCHIEF FINANCIAL OFFICER
Exercise / conversionCommon Stock 201 $0.00 $0.00
Disclosure

SEC source: 0001162194-19-000015 · wf-form4_155080132376602.xml · nonDerivative · entry 1

JOG VIKRAM · CIK 0001222641 · CHIEF FINANCIAL OFFICER

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 32,670

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

Read SEC document
February 19, 2019 Filed Feb 22, 2019 02:09 UTC
Khadder NicholasSee Remarks
GrantRestricted Stock Units · Derivative 33,034 $0.00 $0.00
Disclosure

SEC source: 0001162194-19-000016 · wf-form4_155080135974224.xml · derivative · entry 5

Khadder Nicholas · CIK 0001598911 · See Remarks

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 33,034

Underlying: Common Stock · 33,034 shares

Expires not disclosed

F2 · derivative.exercise_price: Each Restricted Stock Unit represents the contingent right to receive one share of FLDM common stock upon vesting of the unit.

F3 · derivative.exercise_date: 12/48th of the total number of shares underlying the Restricted Stock Units granted will vest on February 20, 2020, 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.

F3 · derivative.expiration_date: 12/48th of the total number of shares underlying the Restricted Stock Units granted will vest on February 20, 2020, 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.

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February 19, 2019 Filed Feb 22, 2019 02:10 UTC GrantRestricted Stock Units · Derivative 110,112 $0.00 $0.00
Disclosure

SEC source: 0001162194-19-000018 · wf-form4_155080143634005.xml · derivative · entry 4

Linthwaite Stephen Christopher · CIK 0001680808 · President & CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 110,112

Underlying: Common Stock · 110,112 shares

Expires not disclosed

F2 · derivative.exercise_price: Each Restricted Stock Unit represents the contingent right to receive one share of FLDM common stock upon vesting of the unit.

F3 · derivative.exercise_date: 12/48th of the total number of shares underlying the Restricted Stock Units granted will vest on February 20, 2020, 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.

F3 · derivative.expiration_date: 12/48th of the total number of shares underlying the Restricted Stock Units granted will vest on February 20, 2020, 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.

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February 19, 2019 Filed Feb 22, 2019 02:10 UTC
Kreger Bradley AllenSVP, Global Operations
GrantRestricted Stock Units · Derivative 35,787 $0.00 $0.00
Disclosure

SEC source: 0001162194-19-000017 · wf-form4_155080139816497.xml · derivative · entry 1

Kreger Bradley Allen · CIK 0001739205 · SVP, Global Operations

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 35,787

Underlying: Common Stock · 35,787 shares

Expires not disclosed

F1 · derivative.exercise_price: Each Restricted Stock Unit represents the contingent right to receive one share of FLDM common stock upon vesting of the unit.

F2 · derivative.exercise_date: 12/48th of the total number of shares underlying the Restricted Stock Units granted will vest on February 20, 2020, 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.

F2 · derivative.expiration_date: 12/48th of the total number of shares underlying the Restricted Stock Units granted will vest on February 20, 2020, 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.

Read SEC document
February 19, 2019 Filed Feb 22, 2019 02:08 UTC
JOG VIKRAMCHIEF FINANCIAL OFFICER
GrantRestricted Stock Units · Derivative 35,787 $0.00 $0.00
Disclosure

SEC source: 0001162194-19-000015 · wf-form4_155080132376602.xml · derivative · entry 7

JOG VIKRAM · CIK 0001222641 · CHIEF FINANCIAL OFFICER

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 35,787

Underlying: Common Stock · 35,787 shares

Expires not disclosed

F2 · derivative.exercise_price: Each Restricted Stock Unit represents the contingent right to receive one share of FLDM common stock upon vesting of the unit.

F3 · derivative.exercise_date: 12/48th of the total number of shares underlying the Restricted Stock Units granted will vest on February 20, 2020, 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.

F3 · derivative.expiration_date: 12/48th of the total number of shares underlying the Restricted Stock Units granted will vest on February 20, 2020, 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.

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February 12, 2019 Filed Feb 15, 2019 02:03 UTC GrantCommon Stock 9,748 $0.00 $0.00
Disclosure

SEC source: 0001162194-19-000007 · wf-form4_155019617000141.xml · nonDerivative · entry 1

COLELLA SAMUEL D · CIK 0001201580 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 95,771

F1 · shares: Each Restricted Stock Unit represents the contingent right to receive one share of FLDM common stock upon vesting of the unit. Subject to the Reporting Person's continued service with the Issuer through each applicable vesting date, twenty-five percent (25%) of the shares underlying the Restricted Stock Units shall vest quarterly on the last day of each quarter during 2019.

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February 12, 2019 Filed Feb 15, 2019 02:00 UTC GrantCommon Stock 4,522 $0.00 $0.00
Disclosure

SEC source: 0001162194-19-000006 · wf-form4_155019600857226.xml · nonDerivative · entry 1

Paya Carlos V · CIK 0001606244 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 34,356

F1 · shares: Each Restricted Stock Unit represents the contingent right to receive one share of FLDM common stock upon vesting of the unit. Subject to the Reporting Person's continued service with the Issuer through each applicable vesting date, twenty-five percent (25%) of the shares underlying the Restricted Stock Units shall vest quarterly on the last day of each quarter during 2019.

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December 24, 2018 Filed Dec 26, 2018 15:40 UTC
LEVIN CAPITAL STRATEGIES, L.P.10% owner · Passive Investor
Levin Capital Strategies GP, LLC10% owner · Passive Investor
Bi-Directional Disequilibrium Fund, L.P.10% owner · Passive Investor
LCS, LLC10% owner · Passive Investor
LEVIN JOHN A10% owner · Passive Investor
PurchaseCommon Stock 85 $7.79 $661.85
Disclosure

SEC source: 0000921895-18-003379 · form410737003b_12262018.xml · nonDerivative · entry 3

LEVIN CAPITAL STRATEGIES, L.P. · CIK 0001354821 · 10% owner · Passive Investor

Levin Capital Strategies GP, LLC · CIK 0001688305 · 10% owner · Passive Investor

Bi-Directional Disequilibrium Fund, L.P. · CIK 0001688307 · 10% owner · Passive Investor

LCS, LLC · CIK 0001688304 · 10% owner · Passive Investor

LEVIN JOHN A · CIK 0001018093 · 10% owner · Passive Investor

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Indirect · By: Managed Accounts of Levin Capital Strategies, L.P.

Disclosed balance after: 10,473,809

F1 · security: 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.), LCS, LLC ("LCSL"), 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 · security: 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 · ownership.nature: 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 · ownership.nature: For the reasons set forth in footnote 3, none of LCS GP, BDD, LCSL and Mr. Levin have a reportable pecuniary interest in the shares held in the Managed Accounts.

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December 24, 2018 Filed Dec 26, 2018 15:40 UTC
LEVIN CAPITAL STRATEGIES, L.P.10% owner · Passive Investor
Levin Capital Strategies GP, LLC10% owner · Passive Investor
Bi-Directional Disequilibrium Fund, L.P.10% owner · Passive Investor
LCS, LLC10% owner · Passive Investor
LEVIN JOHN A10% owner · Passive Investor
OtherCommon Stock 60,359 Not disclosed Not disclosed
Disclosure

SEC source: 0000921895-18-003379 · form410737003b_12262018.xml · nonDerivative · entry 2

LEVIN CAPITAL STRATEGIES, L.P. · CIK 0001354821 · 10% owner · Passive Investor

Levin Capital Strategies GP, LLC · CIK 0001688305 · 10% owner · Passive Investor

Bi-Directional Disequilibrium Fund, L.P. · CIK 0001688307 · 10% owner · Passive Investor

LCS, LLC · CIK 0001688304 · 10% owner · Passive Investor

LEVIN JOHN A · CIK 0001018093 · 10% owner · Passive Investor

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Indirect · By: Managed Accounts of Levin Capital Strategies, L.P.

Disclosed balance after: 10,473,724

F1 · security: 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.), LCS, LLC ("LCSL"), 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 · security: 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.

F8 · kind: On December 24, 2018, LCS began serving as the investment manager to a new Managed Account which holds 60,359 shares. LCS, as the investmentmanager to the new Managed Account, may be deemed to beneficially own such shares. LCS does not have a reportable pecuniary interest under Section16a-1(a)(2) of the Exchange Act in the shares held in the new Managed Account, as LCS receives an asset-based management fee for serving as investmentmanager to the new Managed Account.

F8 · price: On December 24, 2018, LCS began serving as the investment manager to a new Managed Account which holds 60,359 shares. LCS, as the investmentmanager to the new Managed Account, may be deemed to beneficially own such shares. LCS does not have a reportable pecuniary interest under Section16a-1(a)(2) of the Exchange Act in the shares held in the new Managed Account, as LCS receives an asset-based management fee for serving as investmentmanager to the new Managed Account.

F3 · ownership.nature: 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 · ownership.nature: For the reasons set forth in footnote 3, none of LCS GP, BDD, LCSL and Mr. Levin have a reportable pecuniary interest in the shares held in the Managed Accounts.

Read SEC document
December 20, 2018 Filed Dec 26, 2018 15:40 UTC
LEVIN CAPITAL STRATEGIES, L.P.10% owner · Passive Investor
Levin Capital Strategies GP, LLC10% owner · Passive Investor
Bi-Directional Disequilibrium Fund, L.P.10% owner · Passive Investor
LCS, LLC10% owner · Passive Investor
LEVIN JOHN A10% owner · Passive Investor
PurchaseCommon Stock 576 $7.42 $4,272.94
Disclosure

SEC source: 0000921895-18-003379 · form410737003b_12262018.xml · nonDerivative · entry 1

LEVIN CAPITAL STRATEGIES, L.P. · CIK 0001354821 · 10% owner · Passive Investor

Levin Capital Strategies GP, LLC · CIK 0001688305 · 10% owner · Passive Investor

Bi-Directional Disequilibrium Fund, L.P. · CIK 0001688307 · 10% owner · Passive Investor

LCS, LLC · CIK 0001688304 · 10% owner · Passive Investor

LEVIN JOHN A · CIK 0001018093 · 10% owner · Passive Investor

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Indirect · By: Managed Accounts of Levin Capital Strategies, L.P.

Disclosed balance after: 10,413,365

F1 · security: 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.), LCS, LLC ("LCSL"), 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 · security: 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.

F7 · price: The price reported is a weighted average price. The reported shares were purchased in multiple transactions at prices ranging from $7.41 to $7.42. TheReporting Persons undertake to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, uponrequest, full information regarding the number of shares purchased at each separate price within the range set forth in this footnote 7.

F3 · ownership.nature: 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 · ownership.nature: For the reasons set forth in footnote 3, none of LCS GP, BDD, LCSL and Mr. Levin have a reportable pecuniary interest in the shares held in the Managed Accounts.

Read SEC document
December 19, 2018 Filed Dec 20, 2018 17:07 UTC
LEVIN CAPITAL STRATEGIES, L.P.10% owner · Passive Investor
Levin Capital Strategies GP, LLC10% owner · Passive Investor
Bi-Directional Disequilibrium Fund, L.P.10% owner · Passive Investor
LCS, LLC10% owner · Passive Investor
LEVIN JOHN A10% owner · Passive Investor
PurchaseCommon Stock 128 $7.86 $1,006.07
Disclosure

SEC source: 0000921895-18-003364 · form410737003_12202018.xml · nonDerivative · entry 2

LEVIN CAPITAL STRATEGIES, L.P. · CIK 0001354821 · 10% owner · Passive Investor

Levin Capital Strategies GP, LLC · CIK 0001688305 · 10% owner · Passive Investor

Bi-Directional Disequilibrium Fund, L.P. · CIK 0001688307 · 10% owner · Passive Investor

LCS, LLC · CIK 0001688304 · 10% owner · Passive Investor

LEVIN JOHN A · CIK 0001018093 · 10% owner · Passive Investor

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Indirect · By: Managed Accounts of Levin Capital Strategies, L.P.

Disclosed balance after: 10,412,789

F1 · security: 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.), LCS, LLC ("LCSL"), 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 · security: 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 · ownership.nature: 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 · ownership.nature: For the reasons set forth in footnote 3, none of LCS GP, BDD, LCSL and Mr. Levin have a reportable pecuniary interest in the shares held in the Managed Accounts.

Read SEC document
December 18, 2018 Filed Dec 20, 2018 17:07 UTC
LEVIN CAPITAL STRATEGIES, L.P.10% owner · Passive Investor
Levin Capital Strategies GP, LLC10% owner · Passive Investor
Bi-Directional Disequilibrium Fund, L.P.10% owner · Passive Investor
LCS, LLC10% owner · Passive Investor
LEVIN JOHN A10% owner · Passive Investor
PurchaseCommon Stock 36 $7.71 $277.56
Disclosure

SEC source: 0000921895-18-003364 · form410737003_12202018.xml · nonDerivative · entry 1

LEVIN CAPITAL STRATEGIES, L.P. · CIK 0001354821 · 10% owner · Passive Investor

Levin Capital Strategies GP, LLC · CIK 0001688305 · 10% owner · Passive Investor

Bi-Directional Disequilibrium Fund, L.P. · CIK 0001688307 · 10% owner · Passive Investor

LCS, LLC · CIK 0001688304 · 10% owner · Passive Investor

LEVIN JOHN A · CIK 0001018093 · 10% owner · Passive Investor

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Indirect · By: Managed Accounts of Levin Capital Strategies, L.P.

Disclosed balance after: 10,412,661

F1 · security: 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.), LCS, LLC ("LCSL"), 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 · security: 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 · ownership.nature: 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 · ownership.nature: For the reasons set forth in footnote 3, none of LCS GP, BDD, LCSL and Mr. Levin have a reportable pecuniary interest in the shares held in the Managed Accounts.

Read SEC document
December 14, 2018 Filed Dec 18, 2018 15:09 UTC
LEVIN CAPITAL STRATEGIES, L.P.10% owner · Passive Investor
Levin Capital Strategies GP, LLC10% owner · Passive Investor
Bi-Directional Disequilibrium Fund, L.P.10% owner · Passive Investor
LCS, LLC10% owner · Passive Investor
LEVIN JOHN A10% owner · Passive Investor
PurchaseCommon Stock 41 $7.81 $320.21
Disclosure

SEC source: 0000921895-18-003341 · form410737003_12182018.xml · nonDerivative · entry 1

LEVIN CAPITAL STRATEGIES, L.P. · CIK 0001354821 · 10% owner · Passive Investor

Levin Capital Strategies GP, LLC · CIK 0001688305 · 10% owner · Passive Investor

Bi-Directional Disequilibrium Fund, L.P. · CIK 0001688307 · 10% owner · Passive Investor

LCS, LLC · CIK 0001688304 · 10% owner · Passive Investor

LEVIN JOHN A · CIK 0001018093 · 10% owner · Passive Investor

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Indirect · By: Managed Accounts of Levin Capital Strategies, L.P.

Disclosed balance after: 10,412,625

F1 · security: 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.), LCS, LLC ("LCSL"), 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 · security: 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 · ownership.nature: 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 · ownership.nature: For the reasons set forth in footnote 3, none of LCS GP, BDD, LCSL and Mr. Levin have a reportable pecuniary interest in the shares held in the Managed Accounts.

Read SEC document
December 12, 2018 Filed Dec 14, 2018 18:14 UTC
LEVIN CAPITAL STRATEGIES, L.P.10% owner · Passive Investor
Levin Capital Strategies GP, LLC10% owner · Passive Investor
Bi-Directional Disequilibrium Fund, L.P.10% owner · Passive Investor
LCS, LLC10% owner · Passive Investor
LEVIN JOHN A10% owner · Passive Investor
PurchaseCommon Stock 564,731 $6.75 $3,811,934.25
Disclosure

SEC source: 0000921895-18-003311 · form410737003_12142018.xml · nonDerivative · entry 4

LEVIN CAPITAL STRATEGIES, L.P. · CIK 0001354821 · 10% owner · Passive Investor

Levin Capital Strategies GP, LLC · CIK 0001688305 · 10% owner · Passive Investor

Bi-Directional Disequilibrium Fund, L.P. · CIK 0001688307 · 10% owner · Passive Investor

LCS, LLC · CIK 0001688304 · 10% owner · Passive Investor

LEVIN JOHN A · CIK 0001018093 · 10% owner · Passive Investor

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Indirect · By: Transamerica Large Cap Value Fund

Disclosed balance after: 1,870,000

F1 · security: 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.), LCS, LLC ("LCSL"), 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 · security: 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.

F7 · shares: Shares purchased in the Issuer's public offering of shares that closed on December 14, 2018.

F5 · ownership.nature: 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, LCSL and Mr. Levin have a reportable pecuniary interest in the shares held by Transamerica.

Read SEC document
December 12, 2018 Filed Dec 14, 2018 18:14 UTC
LEVIN CAPITAL STRATEGIES, L.P.10% owner · Passive Investor
Levin Capital Strategies GP, LLC10% owner · Passive Investor
Bi-Directional Disequilibrium Fund, L.P.10% owner · Passive Investor
LCS, LLC10% owner · Passive Investor
LEVIN JOHN A10% owner · Passive Investor
OtherCommon Stock 7,943 Not disclosed Not disclosed
Disclosure

SEC source: 0000921895-18-003311 · form410737003_12142018.xml · nonDerivative · entry 2

LEVIN CAPITAL STRATEGIES, L.P. · CIK 0001354821 · 10% owner · Passive Investor

Levin Capital Strategies GP, LLC · CIK 0001688305 · 10% owner · Passive Investor

Bi-Directional Disequilibrium Fund, L.P. · CIK 0001688307 · 10% owner · Passive Investor

LCS, LLC · CIK 0001688304 · 10% owner · Passive Investor

LEVIN JOHN A · CIK 0001018093 · 10% owner · Passive Investor

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Indirect · By: Managed Accounts of Levin Capital Strategies, L.P.

Disclosed balance after: 10,412,584

F1 · security: 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.), LCS, LLC ("LCSL"), 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 · security: 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.

F8 · shares: On December 12, 2018, LCS began serving as the investment manager to a new Managed Account which holds 7,943 shares. LCS, as the investment manager to the new Managed Account, 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 new Managed Account, as LCS receives an asset-based management fee for serving as investment manager to the new Managed Account.

F8 · price: On December 12, 2018, LCS began serving as the investment manager to a new Managed Account which holds 7,943 shares. LCS, as the investment manager to the new Managed Account, 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 new Managed Account, as LCS receives an asset-based management fee for serving as investment manager to the new Managed Account.

F3 · ownership.nature: 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 · ownership.nature: For the reasons set forth in footnote 3, none of LCS GP, BDD, LCSL and Mr. Levin have a reportable pecuniary interest in the shares held in the Managed Accounts.

Read SEC document
December 12, 2018 Filed Dec 14, 2018 18:14 UTC
LEVIN CAPITAL STRATEGIES, L.P.10% owner · Passive Investor
Levin Capital Strategies GP, LLC10% owner · Passive Investor
Bi-Directional Disequilibrium Fund, L.P.10% owner · Passive Investor
LCS, LLC10% owner · Passive Investor
LEVIN JOHN A10% owner · Passive Investor
PurchaseCommon Stock 435,269 $6.75 $2,938,065.75
Disclosure

SEC source: 0000921895-18-003311 · form410737003_12142018.xml · nonDerivative · entry 1

LEVIN CAPITAL STRATEGIES, L.P. · CIK 0001354821 · 10% owner · Passive Investor

Levin Capital Strategies GP, LLC · CIK 0001688305 · 10% owner · Passive Investor

Bi-Directional Disequilibrium Fund, L.P. · CIK 0001688307 · 10% owner · Passive Investor

LCS, LLC · CIK 0001688304 · 10% owner · Passive Investor

LEVIN JOHN A · CIK 0001018093 · 10% owner · Passive Investor

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Indirect · By: Managed Accounts of Levin Capital Strategies, L.P.

Disclosed balance after: 10,404,641

F1 · security: 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.), LCS, LLC ("LCSL"), 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 · security: 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.

F7 · shares: Shares purchased in the Issuer's public offering of shares that closed on December 14, 2018.

F3 · ownership.nature: 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 · ownership.nature: For the reasons set forth in footnote 3, none of LCS GP, BDD, LCSL and Mr. Levin have a reportable pecuniary interest in the shares held in the Managed Accounts.

Read SEC document
December 10, 2018 Filed Dec 11, 2018 15:26 UTC
LEVIN CAPITAL STRATEGIES, L.P.10% owner · Passive Investor
Levin Capital Strategies GP, LLC10% owner · Passive Investor
Bi-Directional Disequilibrium Fund, L.P.10% owner · Passive Investor
LCS, LLC10% owner · Passive Investor
LCS Event Partners, LLC10% owner · Passive Investor
LCS L/S, LLC10% owner · Passive Investor
LEVIN JOHN A10% owner · Passive Investor
OtherCommon Stock 970 Not disclosed Not disclosed
Disclosure

SEC source: 0000921895-18-003255 · form410737003_12112018.xml · nonDerivative · entry 3

LEVIN CAPITAL STRATEGIES, L.P. · CIK 0001354821 · 10% owner · Passive Investor

Levin Capital Strategies GP, LLC · CIK 0001688305 · 10% owner · Passive Investor

Bi-Directional Disequilibrium Fund, L.P. · CIK 0001688307 · 10% owner · Passive Investor

LCS, LLC · CIK 0001688304 · 10% owner · Passive Investor

LCS Event Partners, LLC · CIK 0001688302 · 10% owner · Passive Investor

LCS L/S, LLC · CIK 0001688301 · 10% owner · Passive Investor

LEVIN JOHN A · CIK 0001018093 · 10% owner · Passive Investor

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Indirect · By: Managed Accounts of Levin Capital Strategies, L.P.

Disclosed balance after: 9,969,372

F1 · security: 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.), LCS, LLC ("LCSL"), LCS Event Partners, LLC ("LCSEP"), 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 · security: 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.

F7 · price: On December 10, 2018, one of the Managed Accounts that held 970 shares closed. Accordingly, as of December 10, 2018, LCS ceased to serve as the investment manager for such Managed Account and as such, relinquished all voting and dispostive power over the shares held in the Managed Account.

F3 · ownership.nature: 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 · ownership.nature: For the reasons set forth in footnote 3, none of LCS GP, BDD, LCSL, LCSEP, LCSLS and Mr. Levin have a reportable pecuniary interest in the shares held in the Managed Accounts.

Read SEC document
December 10, 2018 Filed Dec 11, 2018 15:26 UTC
LEVIN CAPITAL STRATEGIES, L.P.10% owner · Passive Investor
Levin Capital Strategies GP, LLC10% owner · Passive Investor
Bi-Directional Disequilibrium Fund, L.P.10% owner · Passive Investor
LCS, LLC10% owner · Passive Investor
LCS Event Partners, LLC10% owner · Passive Investor
LCS L/S, LLC10% owner · Passive Investor
LEVIN JOHN A10% owner · Passive Investor
PurchaseCommon Stock 35,000 $7.72 $270,200.00
Disclosure

SEC source: 0000921895-18-003255 · form410737003_12112018.xml · nonDerivative · entry 2

LEVIN CAPITAL STRATEGIES, L.P. · CIK 0001354821 · 10% owner · Passive Investor

Levin Capital Strategies GP, LLC · CIK 0001688305 · 10% owner · Passive Investor

Bi-Directional Disequilibrium Fund, L.P. · CIK 0001688307 · 10% owner · Passive Investor

LCS, LLC · CIK 0001688304 · 10% owner · Passive Investor

LCS Event Partners, LLC · CIK 0001688302 · 10% owner · Passive Investor

LCS L/S, LLC · CIK 0001688301 · 10% owner · Passive Investor

LEVIN JOHN A · CIK 0001018093 · 10% owner · Passive Investor

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Indirect · By: Managed Accounts of Levin Capital Strategies, L.P.

Disclosed balance after: 9,970,342

F1 · security: 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.), LCS, LLC ("LCSL"), LCS Event Partners, LLC ("LCSEP"), 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 · security: 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 · ownership.nature: 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 · ownership.nature: For the reasons set forth in footnote 3, none of LCS GP, BDD, LCSL, LCSEP, LCSLS and Mr. Levin have a reportable pecuniary interest in the shares held in the Managed Accounts.

Read SEC document
December 07, 2018 Filed Dec 11, 2018 15:26 UTC
LEVIN CAPITAL STRATEGIES, L.P.10% owner · Passive Investor
Levin Capital Strategies GP, LLC10% owner · Passive Investor
Bi-Directional Disequilibrium Fund, L.P.10% owner · Passive Investor
LCS, LLC10% owner · Passive Investor
LCS Event Partners, LLC10% owner · Passive Investor
LCS L/S, LLC10% owner · Passive Investor
LEVIN JOHN A10% owner · Passive Investor
PurchaseCommon Stock 33 $7.95 $262.35
Disclosure

SEC source: 0000921895-18-003255 · form410737003_12112018.xml · nonDerivative · entry 1

LEVIN CAPITAL STRATEGIES, L.P. · CIK 0001354821 · 10% owner · Passive Investor

Levin Capital Strategies GP, LLC · CIK 0001688305 · 10% owner · Passive Investor

Bi-Directional Disequilibrium Fund, L.P. · CIK 0001688307 · 10% owner · Passive Investor

LCS, LLC · CIK 0001688304 · 10% owner · Passive Investor

LCS Event Partners, LLC · CIK 0001688302 · 10% owner · Passive Investor

LCS L/S, LLC · CIK 0001688301 · 10% owner · Passive Investor

LEVIN JOHN A · CIK 0001018093 · 10% owner · Passive Investor

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Indirect · By: Managed Accounts of Levin Capital Strategies, L.P.

Disclosed balance after: 9,935,342

F1 · security: 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.), LCS, LLC ("LCSL"), LCS Event Partners, LLC ("LCSEP"), 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 · security: 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 · ownership.nature: 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 · ownership.nature: For the reasons set forth in footnote 3, none of LCS GP, BDD, LCSL, LCSEP, LCSLS and Mr. Levin have a reportable pecuniary interest in the shares held in the Managed Accounts.

Read SEC document
December 03, 2018 Filed Dec 6, 2018 18:59 UTC
LEVIN CAPITAL STRATEGIES, L.P.10% owner · Passive Investor
Levin Capital Strategies GP, LLC10% owner · Passive Investor
Bi-Directional Disequilibrium Fund, L.P.10% owner · Passive Investor
LCS, LLC10% owner · Passive Investor
Levcap Alternative Fund, L.P.10% owner · Passive Investor
LCS Event Partners, LLC10% owner · Passive Investor
Safinia Partners, L.P.10% owner · Passive Investor
LCS L/S, LLC10% owner · Passive Investor
LEVIN JOHN A10% owner · Passive Investor
OtherCommon Stock 44,179 Not disclosed Not disclosed
Disclosure

SEC source: 0000921895-18-003224 · form410737003_12062018.xml · nonDerivative · entry 6

LEVIN CAPITAL STRATEGIES, L.P. · CIK 0001354821 · 10% owner · Passive Investor

Levin Capital Strategies GP, LLC · CIK 0001688305 · 10% owner · Passive Investor

Bi-Directional Disequilibrium Fund, L.P. · CIK 0001688307 · 10% owner · Passive Investor

LCS, LLC · CIK 0001688304 · 10% owner · Passive Investor

Levcap Alternative Fund, L.P. · CIK 0001474048 · 10% owner · Passive Investor

LCS Event Partners, LLC · CIK 0001688302 · 10% owner · Passive Investor

Safinia Partners, L.P. · CIK 0001539456 · 10% owner · Passive Investor

LCS L/S, LLC · CIK 0001688301 · 10% owner · Passive Investor

LEVIN JOHN A · CIK 0001018093 · 10% owner · Passive Investor

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Indirect · By: John A. Levin

Disclosed balance after: 49,179

F1 · security: 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.), 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 · security: 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.

F9 · kind: Represents the receipt of a pro rata distribution of shares from Levcap and Safinia as a limited partner, consisting of 13,145 shares held in trusts for the benefit of various family members, of which Mr. Levin has dispositive power over, 24,189 shares held in a trust for the benefit of his spouse, of which Mr. Levin has voting and dispositive power over and 11,845 shares held directly by his spouse, of which Mr. Levin has voting and dispositive power over.

F9 · price: Represents the receipt of a pro rata distribution of shares from Levcap and Safinia as a limited partner, consisting of 13,145 shares held in trusts for the benefit of various family members, of which Mr. Levin has dispositive power over, 24,189 shares held in a trust for the benefit of his spouse, of which Mr. Levin has voting and dispositive power over and 11,845 shares held directly by his spouse, of which Mr. Levin has voting and dispositive power over.

Read SEC document
December 03, 2018 Filed Dec 6, 2018 18:59 UTC
LEVIN CAPITAL STRATEGIES, L.P.10% owner · Passive Investor
Levin Capital Strategies GP, LLC10% owner · Passive Investor
Bi-Directional Disequilibrium Fund, L.P.10% owner · Passive Investor
LCS, LLC10% owner · Passive Investor
Levcap Alternative Fund, L.P.10% owner · Passive Investor
LCS Event Partners, LLC10% owner · Passive Investor
Safinia Partners, L.P.10% owner · Passive Investor
LCS L/S, LLC10% owner · Passive Investor
LEVIN JOHN A10% owner · Passive Investor
OtherCommon Stock 19,818 Not disclosed Not disclosed
Disclosure

SEC source: 0000921895-18-003224 · form410737003_12062018.xml · nonDerivative · entry 5

LEVIN CAPITAL STRATEGIES, L.P. · CIK 0001354821 · 10% owner · Passive Investor

Levin Capital Strategies GP, LLC · CIK 0001688305 · 10% owner · Passive Investor

Bi-Directional Disequilibrium Fund, L.P. · CIK 0001688307 · 10% owner · Passive Investor

LCS, LLC · CIK 0001688304 · 10% owner · Passive Investor

Levcap Alternative Fund, L.P. · CIK 0001474048 · 10% owner · Passive Investor

LCS Event Partners, LLC · CIK 0001688302 · 10% owner · Passive Investor

Safinia Partners, L.P. · CIK 0001539456 · 10% owner · Passive Investor

LCS L/S, LLC · CIK 0001688301 · 10% owner · Passive Investor

LEVIN JOHN A · CIK 0001018093 · 10% owner · Passive Investor

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Indirect · By: Safinia Partners, L.P.

Disclosed balance after: 0

F1 · security: 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.), 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 · security: 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.

F8 · kind: On December 3, 2018, Safinia was liquidated. This transaction represents a pro rata distribution of shares from Safinia to its general and limited partners. Following the pro rata distribution, Safinia no longer beneficially owns any shares and will no longer be a Reporting Person hereunder.

F8 · price: On December 3, 2018, Safinia was liquidated. This transaction represents a pro rata distribution of shares from Safinia to its general and limited partners. Following the pro rata distribution, Safinia no longer beneficially owns any shares and will no longer be a Reporting Person hereunder.

Read SEC document
December 03, 2018 Filed Dec 6, 2018 18:59 UTC
LEVIN CAPITAL STRATEGIES, L.P.10% owner · Passive Investor
Levin Capital Strategies GP, LLC10% owner · Passive Investor
Bi-Directional Disequilibrium Fund, L.P.10% owner · Passive Investor
LCS, LLC10% owner · Passive Investor
Levcap Alternative Fund, L.P.10% owner · Passive Investor
LCS Event Partners, LLC10% owner · Passive Investor
Safinia Partners, L.P.10% owner · Passive Investor
LCS L/S, LLC10% owner · Passive Investor
LEVIN JOHN A10% owner · Passive Investor
OtherCommon Stock 56,820 Not disclosed Not disclosed
Disclosure

SEC source: 0000921895-18-003224 · form410737003_12062018.xml · nonDerivative · entry 4

LEVIN CAPITAL STRATEGIES, L.P. · CIK 0001354821 · 10% owner · Passive Investor

Levin Capital Strategies GP, LLC · CIK 0001688305 · 10% owner · Passive Investor

Bi-Directional Disequilibrium Fund, L.P. · CIK 0001688307 · 10% owner · Passive Investor

LCS, LLC · CIK 0001688304 · 10% owner · Passive Investor

Levcap Alternative Fund, L.P. · CIK 0001474048 · 10% owner · Passive Investor

LCS Event Partners, LLC · CIK 0001688302 · 10% owner · Passive Investor

Safinia Partners, L.P. · CIK 0001539456 · 10% owner · Passive Investor

LCS L/S, LLC · CIK 0001688301 · 10% owner · Passive Investor

LEVIN JOHN A · CIK 0001018093 · 10% owner · Passive Investor

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Indirect · By: Levcap Alternative Fund, L.P.

Disclosed balance after: 0

F1 · security: 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.), 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 · security: 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.

F7 · kind: On December 3, 2018, Levcap was liquidated. This transaction represents a pro rata distribution of shares from Levcap to its general and limited partners. Following the pro rata distribution, Levcap no longer beneficially owns any shares and will no longer be a Reporting Person hereunder.

F7 · price: On December 3, 2018, Levcap was liquidated. This transaction represents a pro rata distribution of shares from Levcap to its general and limited partners. Following the pro rata distribution, Levcap no longer beneficially owns any shares and will no longer be a Reporting Person hereunder.

Read SEC document
November 23, 2018 Filed Nov 27, 2018 12:43 UTC
LEVIN CAPITAL STRATEGIES, L.P.10% owner · Passive Investor
Levin Capital Strategies GP, LLC10% owner · Passive Investor
Bi-Directional Disequilibrium Fund, L.P.10% owner · Passive Investor
LCS, LLC10% owner · Passive Investor
Levcap Alternative Fund, L.P.10% owner · Passive Investor
LCS Event Partners, LLC10% owner · Passive Investor
Safinia Partners, L.P.10% owner · Passive Investor
LCS L/S, LLC10% owner · Passive Investor
LEVIN JOHN A10% owner · Passive Investor
OtherCommon Stock 125,614 Not disclosed Not disclosed
Disclosure

SEC source: 0000921895-18-003158 · form410737003_11272018.xml · nonDerivative · entry 1

LEVIN CAPITAL STRATEGIES, L.P. · CIK 0001354821 · 10% owner · Passive Investor

Levin Capital Strategies GP, LLC · CIK 0001688305 · 10% owner · Passive Investor

Bi-Directional Disequilibrium Fund, L.P. · CIK 0001688307 · 10% owner · Passive Investor

LCS, LLC · CIK 0001688304 · 10% owner · Passive Investor

Levcap Alternative Fund, L.P. · CIK 0001474048 · 10% owner · Passive Investor

LCS Event Partners, LLC · CIK 0001688302 · 10% owner · Passive Investor

Safinia Partners, L.P. · CIK 0001539456 · 10% owner · Passive Investor

LCS L/S, LLC · CIK 0001688301 · 10% owner · Passive Investor

LEVIN JOHN A · CIK 0001018093 · 10% owner · Passive Investor

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Indirect · By: Managed Accounts of Levin Capital Strategies, L.P.

Disclosed balance after: 9,935,309

F1 · security: 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.), 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 · security: 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.

F10 · price: On November 23, 2018, LCS began serving as the investment manager to a new Managed Account which holds 125,614 shares. LCS, as the investment manager to the new Managed Account, 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 new Managed Account, as LCS receives an asset-based management fee for serving as investment manager to the new Managed Account.

F3 · ownership.nature: 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 · ownership.nature: For the reasons set forth in footnote 3, none of LCS GP, BDD, LCSL, Levcap, LCSEP, Safinia, LCSLS and Mr. Levin have a reportable pecuniary interest in the shares held in the Managed Accounts.

Read SEC document
November 20, 2018 Filed Nov 22, 2018 02:07 UTC Exercise / conversionRestricted Stock Units · Derivative 7,812 $0.00 $0.00
Disclosure

SEC source: 0001162194-18-000118 · wf-form4_154285244329304.xml · derivative · entry 5

Linthwaite Stephen Christopher · CIK 0001680808 · President & CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 109,376

Underlying: Common Stock · 7,812 shares

Expires not disclosed

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · derivative.exercise_price: Each Restricted Stock Unit represents the contingent right to receive one share of FLDM common stock upon vesting of the unit.

F3 · derivative.exercise_date: On June 11, 2018, the Reporting Person was granted 125,000 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.

F3 · derivative.expiration_date: On June 11, 2018, the Reporting Person was granted 125,000 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.

Read SEC document
November 20, 2018 Filed Nov 22, 2018 02:07 UTC Exercise / conversionRestricted Stock Units · Derivative 4,750 $0.00 $0.00
Disclosure

SEC source: 0001162194-18-000118 · wf-form4_154285244329304.xml · derivative · entry 4

Linthwaite Stephen Christopher · CIK 0001680808 · President & CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 41,167

Underlying: Common Stock · 4,750 shares

Expires not disclosed

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · derivative.exercise_price: Each Restricted Stock Unit represents the contingent right to receive one share of FLDM common stock upon vesting of the unit.

F2 · derivative.exercise_date: On February 13, 2017, the Reporting Person was granted 76,000 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.

F2 · derivative.expiration_date: On February 13, 2017, the Reporting Person was granted 76,000 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.

Read SEC document
November 20, 2018 Filed Nov 22, 2018 02:07 UTC Tax withholdingCommon Stock 4,345 $8.30 $36,063.50
Disclosure

SEC source: 0001162194-18-000118 · wf-form4_154285244329304.xml · nonDerivative · entry 3

Linthwaite Stephen Christopher · CIK 0001680808 · President & CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 142,305

Read SEC document
November 20, 2018 Filed Nov 22, 2018 02:07 UTC Exercise / conversionCommon Stock 7,812 $0.00 $0.00
Disclosure

SEC source: 0001162194-18-000118 · wf-form4_154285244329304.xml · nonDerivative · entry 2

Linthwaite Stephen Christopher · CIK 0001680808 · President & CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 146,650

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

Read SEC document
November 20, 2018 Filed Nov 22, 2018 02:07 UTC Exercise / conversionCommon Stock 4,750 $0.00 $0.00
Disclosure

SEC source: 0001162194-18-000118 · wf-form4_154285244329304.xml · nonDerivative · entry 1

Linthwaite Stephen Christopher · CIK 0001680808 · President & CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 138,838

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

Read SEC document
November 20, 2018 Filed Nov 22, 2018 02:07 UTC
JOG VIKRAMCHIEF FINANCIAL OFFICER
Exercise / conversionRestricted Stock Units · Derivative 2,251 $0.00 $0.00
Disclosure

SEC source: 0001162194-18-000117 · wf-form4_154285241953525.xml · derivative · entry 10

JOG VIKRAM · CIK 0001222641 · CHIEF FINANCIAL OFFICER

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 31,514

Underlying: Common Stock · 2,251 shares

Expires not disclosed

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F2 · derivative.exercise_price: Each Restricted Stock Unit represents the contingent right to receive one share of FLDM common stock upon vesting of the unit.

F6 · derivative.exercise_date: On June 11, 2018, the Reporting Person was granted 36,016 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.

F6 · derivative.expiration_date: On June 11, 2018, the Reporting Person was granted 36,016 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.

Read SEC document
November 20, 2018 Filed Nov 22, 2018 02:07 UTC
JOG VIKRAMCHIEF FINANCIAL OFFICER
Exercise / conversionRestricted Stock Units · Derivative 2,163 $0.00 $0.00
Disclosure

SEC source: 0001162194-18-000117 · wf-form4_154285241953525.xml · derivative · entry 9

JOG VIKRAM · CIK 0001222641 · CHIEF FINANCIAL OFFICER

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 18,742

Underlying: Common Stock · 2,163 shares

Expires not disclosed

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F2 · derivative.exercise_price: Each Restricted Stock Unit represents the contingent right to receive one share of FLDM common stock upon vesting of the unit.

F5 · derivative.exercise_date: On February 13, 2017, the Reporting Person was granted 34,600 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.

F5 · derivative.expiration_date: On February 13, 2017, the Reporting Person was granted 34,600 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.

Read SEC document
November 20, 2018 Filed Nov 22, 2018 02:07 UTC
JOG VIKRAMCHIEF FINANCIAL OFFICER
Exercise / conversionRestricted Stock Units · Derivative 337 $0.00 $0.00
Disclosure

SEC source: 0001162194-18-000117 · wf-form4_154285241953525.xml · derivative · entry 8

JOG VIKRAM · CIK 0001222641 · CHIEF FINANCIAL OFFICER

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,576

Underlying: Common Stock · 337 shares

Expires not disclosed

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F2 · derivative.exercise_price: Each Restricted Stock Unit represents the contingent right to receive one share of FLDM common stock upon vesting of the unit.

F4 · derivative.exercise_date: On 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.

F4 · derivative.expiration_date: On 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.

Read SEC document
November 20, 2018 Filed Nov 22, 2018 02:07 UTC
JOG VIKRAMCHIEF FINANCIAL OFFICER
Exercise / conversionRestricted Stock Units · Derivative 300 $0.00 $0.00
Disclosure

SEC source: 0001162194-18-000117 · wf-form4_154285241953525.xml · derivative · entry 7

JOG VIKRAM · CIK 0001222641 · CHIEF FINANCIAL OFFICER

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 201

Underlying: Common Stock · 300 shares

Expires not disclosed

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F2 · derivative.exercise_price: Each Restricted Stock Unit represents the contingent right to receive one share of FLDM common stock upon vesting of the unit.

F3 · derivative.exercise_date: On March 12, 2015, the Reporting Person was granted 4,800 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 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.

F3 · derivative.expiration_date: On March 12, 2015, the Reporting Person was granted 4,800 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 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.

Read SEC document
November 20, 2018 Filed Nov 22, 2018 02:07 UTC
JOG VIKRAMCHIEF FINANCIAL OFFICER
Tax withholdingCommon Stock 1,748 $8.30 $14,508.40
Disclosure

SEC source: 0001162194-18-000117 · wf-form4_154285241953525.xml · nonDerivative · entry 5

JOG VIKRAM · CIK 0001222641 · CHIEF FINANCIAL OFFICER

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 32,469

Read SEC document
November 20, 2018 Filed Nov 22, 2018 02:07 UTC
JOG VIKRAMCHIEF FINANCIAL OFFICER
Exercise / conversionCommon Stock 2,251 $0.00 $0.00
Disclosure

SEC source: 0001162194-18-000117 · wf-form4_154285241953525.xml · nonDerivative · entry 4

JOG VIKRAM · CIK 0001222641 · CHIEF FINANCIAL OFFICER

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 34,217

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

Read SEC document
November 20, 2018 Filed Nov 22, 2018 02:07 UTC
JOG VIKRAMCHIEF FINANCIAL OFFICER
Exercise / conversionCommon Stock 2,163 $0.00 $0.00
Disclosure

SEC source: 0001162194-18-000117 · wf-form4_154285241953525.xml · nonDerivative · entry 3

JOG VIKRAM · CIK 0001222641 · CHIEF FINANCIAL OFFICER

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 31,966

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

Read SEC document
November 20, 2018 Filed Nov 22, 2018 02:07 UTC
JOG VIKRAMCHIEF FINANCIAL OFFICER
Exercise / conversionCommon Stock 337 $0.00 $0.00
Disclosure

SEC source: 0001162194-18-000117 · wf-form4_154285241953525.xml · nonDerivative · entry 2

JOG VIKRAM · CIK 0001222641 · CHIEF FINANCIAL OFFICER

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 29,803

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

Read SEC document
November 20, 2018 Filed Nov 22, 2018 02:07 UTC
JOG VIKRAMCHIEF FINANCIAL OFFICER
Exercise / conversionCommon Stock 300 $0.00 $0.00
Disclosure

SEC source: 0001162194-18-000117 · wf-form4_154285241953525.xml · nonDerivative · entry 1

JOG VIKRAM · CIK 0001222641 · CHIEF FINANCIAL OFFICER

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 29,466

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

Read SEC document
November 20, 2018 Filed Nov 22, 2018 02:06 UTC
McPhail StevenChief Commercial Officer
Exercise / conversionRestricted Stock Units · Derivative 1,324 $0.00 $0.00
Disclosure

SEC source: 0001162194-18-000116 · wf-form4_154285239606763.xml · derivative · entry 9

McPhail Steven · CIK 0001641858 · Chief Commercial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 18,538

Underlying: Common Stock · 1,324 shares

Expires not disclosed

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · derivative.exercise_price: Each Restricted Stock Unit represents the contingent right to receive one share of FLDM common stock upon vesting of the unit.

F5 · derivative.exercise_date: On 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.

F5 · derivative.expiration_date: On 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.

Read SEC document
November 20, 2018 Filed Nov 22, 2018 02:06 UTC
McPhail StevenChief Commercial Officer
Exercise / conversionRestricted Stock Units · Derivative 1,284 $0.00 $0.00
Disclosure

SEC source: 0001162194-18-000116 · wf-form4_154285239606763.xml · derivative · entry 8

McPhail Steven · CIK 0001641858 · Chief Commercial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 11,132

Underlying: Common Stock · 1,284 shares

Expires not disclosed

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · derivative.exercise_price: Each Restricted Stock Unit represents the contingent right to receive one share of FLDM common stock upon vesting of the unit.

F4 · derivative.exercise_date: On 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.

F4 · derivative.expiration_date: On 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.

Read SEC document
November 20, 2018 Filed Nov 22, 2018 02:06 UTC
McPhail StevenChief Commercial Officer
Exercise / conversionRestricted Stock Units · Derivative 337 $0.00 $0.00
Disclosure

SEC source: 0001162194-18-000116 · wf-form4_154285239606763.xml · derivative · entry 7

McPhail Steven · CIK 0001641858 · Chief Commercial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,576

Underlying: Common Stock · 337 shares

Expires not disclosed

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · derivative.exercise_price: Each Restricted Stock Unit represents the contingent right to receive one share of FLDM common stock upon vesting of the unit.

F3 · derivative.exercise_date: On 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.

F3 · derivative.expiration_date: On 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.

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November 20, 2018 Filed Nov 22, 2018 02:06 UTC
McPhail StevenChief Commercial Officer
Exercise / conversionRestricted Stock Units · Derivative 775 $0.00 $0.00
Disclosure

SEC source: 0001162194-18-000116 · wf-form4_154285239606763.xml · derivative · entry 6

McPhail Steven · CIK 0001641858 · Chief Commercial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,550

Underlying: Common Stock · 775 shares

Expires not disclosed

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · derivative.exercise_price: Each Restricted Stock Unit represents the contingent right to receive one share of FLDM common stock upon vesting of the unit.

F2 · derivative.exercise_date: On 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.

F2 · derivative.expiration_date: On 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.

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November 20, 2018 Filed Nov 22, 2018 02:06 UTC
McPhail StevenChief Commercial Officer
Tax withholdingCommon Stock 1,116 $8.30 $9,262.80
Disclosure

SEC source: 0001162194-18-000116 · wf-form4_154285239606763.xml · nonDerivative · entry 5

McPhail Steven · CIK 0001641858 · Chief Commercial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 50,939

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November 20, 2018 Filed Nov 22, 2018 02:06 UTC
McPhail StevenChief Commercial Officer
Exercise / conversionCommon Stock 1,324 $0.00 $0.00
Disclosure

SEC source: 0001162194-18-000116 · wf-form4_154285239606763.xml · nonDerivative · entry 4

McPhail Steven · CIK 0001641858 · Chief Commercial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 52,055

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

Read SEC document
November 20, 2018 Filed Nov 22, 2018 02:06 UTC
McPhail StevenChief Commercial Officer
Exercise / conversionCommon Stock 1,284 $0.00 $0.00
Disclosure

SEC source: 0001162194-18-000116 · wf-form4_154285239606763.xml · nonDerivative · entry 3

McPhail Steven · CIK 0001641858 · Chief Commercial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 50,731

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

Read SEC document
November 20, 2018 Filed Nov 22, 2018 02:06 UTC
McPhail StevenChief Commercial Officer
Exercise / conversionCommon Stock 337 $0.00 $0.00
Disclosure

SEC source: 0001162194-18-000116 · wf-form4_154285239606763.xml · nonDerivative · entry 2

McPhail Steven · CIK 0001641858 · Chief Commercial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 49,447

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

Read SEC document
November 20, 2018 Filed Nov 22, 2018 02:06 UTC
McPhail StevenChief Commercial Officer
Exercise / conversionCommon Stock 775 $0.00 $0.00
Disclosure

SEC source: 0001162194-18-000116 · wf-form4_154285239606763.xml · nonDerivative · entry 1

McPhail Steven · CIK 0001641858 · Chief Commercial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 49,110

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

Read SEC document
November 20, 2018 Filed Nov 22, 2018 02:06 UTC
Khadder NicholasSee Remarks
Exercise / conversionRestricted Stock Units · Derivative 2,251 $0.00 $0.00
Disclosure

SEC source: 0001162194-18-000115 · wf-form4_154285236959363.xml · derivative · entry 7

Khadder Nicholas · CIK 0001598911 · See Remarks

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 31,514

Underlying: Common Stock · 2,251 shares

Expires not disclosed

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · derivative.exercise_price: Each Restricted Stock Unit represents the contingent right to receive one share of FLDM common stock upon vesting of the unit.

F4 · derivative.exercise_date: On June 11, 2018, the Reporting Person was granted 36,016 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.

F4 · derivative.expiration_date: On June 11, 2018, the Reporting Person was granted 36,016 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.

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November 20, 2018 Filed Nov 22, 2018 02:06 UTC
Khadder NicholasSee Remarks
Exercise / conversionRestricted Stock Units · Derivative 1,975 $0.00 $0.00
Disclosure

SEC source: 0001162194-18-000115 · wf-form4_154285236959363.xml · derivative · entry 6

Khadder Nicholas · CIK 0001598911 · See Remarks

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 17,117

Underlying: Common Stock · 1,975 shares

Expires not disclosed

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · derivative.exercise_price: Each Restricted Stock Unit represents the contingent right to receive one share of FLDM common stock upon vesting of the unit.

F3 · derivative.exercise_date: On February 13, 2017, the Reporting Person was granted 31,600 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.

F3 · derivative.expiration_date: On February 13, 2017, the Reporting Person was granted 31,600 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.

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Value uses the disclosed total when available, otherwise shares × reported transaction price. It is not an estimate of exercise cash cost or investment performance.