0000921895-16-006026.txt : 20161107 0000921895-16-006026.hdr.sgml : 20161107 20161107182545 ACCESSION NUMBER: 0000921895-16-006026 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20161103 FILED AS OF DATE: 20161107 DATE AS OF CHANGE: 20161107 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: LCS L/S, LLC CENTRAL INDEX KEY: 0001688301 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-34180 FILM NUMBER: 161979488 BUSINESS ADDRESS: STREET 1: 595 MADISON AVENUE, 17TH FLOOR CITY: NEW YORK STATE: NY ZIP: 10022 BUSINESS PHONE: (212) 259-0800 MAIL ADDRESS: STREET 1: 595 MADISON AVENUE, 17TH FLOOR CITY: NEW YORK STATE: NY ZIP: 10022 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Safinia Partners, L.P. CENTRAL INDEX KEY: 0001539456 STATE OF INCORPORATION: DE FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-34180 FILM NUMBER: 161979489 BUSINESS ADDRESS: STREET 1: 595 MADISON AVENUE STREET 2: 17TH FLOOR CITY: NEW YORK STATE: NY ZIP: 10022 BUSINESS PHONE: 212-259-0800 MAIL ADDRESS: STREET 1: 595 MADISON AVENUE STREET 2: 17TH FLOOR CITY: NEW YORK STATE: NY ZIP: 10022 FORMER NAME: FORMER CONFORMED NAME: LCS L/S Fund, LP DATE OF NAME CHANGE: 20120112 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: LCS Event Partners, LLC CENTRAL INDEX KEY: 0001688302 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-34180 FILM NUMBER: 161979490 BUSINESS ADDRESS: STREET 1: 595 MADISON AVENUE, 17TH FLOOR CITY: NEW YORK STATE: NY ZIP: 10022 BUSINESS PHONE: (212) 259-0800 MAIL ADDRESS: STREET 1: 595 MADISON AVENUE, 17TH FLOOR CITY: NEW YORK STATE: NY ZIP: 10022 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Levcap Alternative Fund, L.P. CENTRAL INDEX KEY: 0001474048 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-34180 FILM NUMBER: 161979491 BUSINESS ADDRESS: STREET 1: 595 MADISON AVENUE STREET 2: 17TH FLOOR CITY: NEW YORK STATE: NY ZIP: 10022 BUSINESS PHONE: 212-259-0800 MAIL ADDRESS: STREET 1: 595 MADISON AVENUE STREET 2: 17TH FLOOR CITY: NEW YORK STATE: NY ZIP: 10022 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Levin Capital Trilogy Master Fund, Ltd. CENTRAL INDEX KEY: 0001688307 STATE OF INCORPORATION: E9 FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-34180 FILM NUMBER: 161979493 BUSINESS ADDRESS: STREET 1: 595 MADISON AVENUE, 17TH FLOOR CITY: NEW YORK STATE: NY ZIP: 10022 BUSINESS PHONE: (212) 259-0800 MAIL ADDRESS: STREET 1: 595 MADISON AVENUE, 17TH FLOOR CITY: NEW YORK STATE: NY ZIP: 10022 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Levin Capital Strategies GP, LLC CENTRAL INDEX KEY: 0001688305 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-34180 FILM NUMBER: 161979494 BUSINESS ADDRESS: STREET 1: 595 MADISON AVENUE, 17TH FLOOR CITY: NEW YORK STATE: NY ZIP: 10022 BUSINESS PHONE: (212) 259-0800 MAIL ADDRESS: STREET 1: 595 MADISON AVENUE, 17TH FLOOR CITY: NEW YORK STATE: NY ZIP: 10022 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: LEVIN JOHN A CENTRAL INDEX KEY: 0001018093 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-34180 FILM NUMBER: 161979487 MAIL ADDRESS: STREET 1: ONE ROCKEFELLER PLAZA 25TH FLOOR CITY: NEW YORK STATE: NY ZIP: 10020 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: LCS, LLC CENTRAL INDEX KEY: 0001688304 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-34180 FILM NUMBER: 161979492 BUSINESS ADDRESS: STREET 1: 595 MADISON AVENUE, 17TH FLOOR CITY: NEW YORK STATE: NY ZIP: 10022 BUSINESS PHONE: (212) 259-0800 MAIL ADDRESS: STREET 1: 595 MADISON AVENUE, 17TH FLOOR CITY: NEW YORK STATE: NY ZIP: 10022 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: FLUIDIGM CORP CENTRAL INDEX KEY: 0001162194 STANDARD INDUSTRIAL CLASSIFICATION: LABORATORY ANALYTICAL INSTRUMENTS [3826] IRS NUMBER: 770513190 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 BUSINESS ADDRESS: STREET 1: 7000 SHORELINE COURT STREET 2: SUITE 100 CITY: SOUTH SAN FRANCISCO STATE: CA ZIP: 94080 BUSINESS PHONE: 6502666000 MAIL ADDRESS: STREET 1: 7000 SHORELINE COURT STREET 2: SUITE 100 CITY: SOUTH SAN FRANCISCO STATE: CA ZIP: 94080 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: LEVIN CAPITAL STRATEGIES, L.P. CENTRAL INDEX KEY: 0001354821 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-34180 FILM NUMBER: 161979495 BUSINESS ADDRESS: STREET 1: 595 MADISON AVENUE STREET 2: 17TH FLOOR CITY: NEW YORK STATE: NY ZIP: 10022 BUSINESS PHONE: 212-259-0800 MAIL ADDRESS: STREET 1: 595 MADISON AVENUE STREET 2: 17TH FLOOR CITY: NEW YORK STATE: NY ZIP: 10022 4 1 form410737001_11072016.xml OWNERSHIP DOCUMENT X0306 4 2016-11-03 0 0001162194 FLUIDIGM CORP FLDM 0001354821 LEVIN CAPITAL STRATEGIES, L.P. 595 MADISON AVENUE 17TH FLOOR NEW YORK NY 10022 0 0 1 1 Passive Investor 0001688305 Levin Capital Strategies GP, LLC 595 MADISON AVENUE 17TH FLOOR NEW YORK NY 10022 0 0 1 1 Passive Investor 0001688307 Levin Capital Trilogy Master Fund, Ltd. 595 MADISON AVENUE 17TH FLOOR NEW YORK NY 10022 0 0 1 1 Passive Investor 0001688304 LCS, LLC 595 MADISON AVENUE 17TH FLOOR NEW YORK NY 10022 0 0 1 1 Passive Investor 0001474048 Levcap Alternative Fund, L.P. 595 MADISON AVENUE 17TH FLOOR NEW YORK NY 10022 0 0 1 1 Passive Investor 0001688302 LCS Event Partners, LLC 595 MADISON AVENUE 17TH FLOOR NEW YORK NY 10022 0 0 1 1 Passive Investor 0001539456 Safinia Partners, L.P. 595 MADISON AVENUE 17TH FLOOR NEW YORK NY 10022 0 0 1 1 Passive Investor 0001688301 LCS L/S, LLC 595 MADISON AVENUE 17TH FLOOR NEW YORK NY 10022 0 0 1 1 Passive Investor 0001018093 LEVIN JOHN A 595 MADISON AVENUE, 17TH FLOOR 17TH FLOOR NEW YORK NY 10022 0 0 1 1 Passive Investor Common Stock 2016-11-03 4 P 0 80000 4.4331 A 6264543 I By: Managed Accounts of Levin Capital Strategies, L.P. Common Stock 2016-11-03 4 P 0 61416 4.4534 A 6325959 I By: Managed Accounts of Levin Capital Strategies, L.P. Common Stock 2016-11-04 4 P 0 11784 4.4216 A 6337743 I By: Managed Accounts of Levin Capital Strategies, L.P. Common Stock 2016-11-07 4 P 0 6000 4.3848 A 6343743 I By: Managed Accounts of Levin Capital Strategies, L.P. Common Stock 1098376 I By: Transamerica Large Cap Value Fund Common Stock 51068 I By: Levin Capital Trilogy Master Fund, Ltd. Common Stock 22453 I By: Levcap Alternative Fund, L.P. Common Stock 9252 I By: Safinia Partners, L.P. This Form 4 is filed jointly by Levin Capital Strategies, L.P. ("LCS"), Levin Capital Strategies GP, LLC ("LCS GP"), Levin Capital Trilogy Master Fund, Ltd. ("Trilogy"), LCS, LLC ("LCSL"), Levcap Alternative Fund, L.P. ("Levcap"), LCS Event Partners, LLC ("LCSEP"), Safinia Partners, L.P. ("Safinia"), LCS L/S, LLC ("LCSLS"), and John A. Levin (collectively, the "Reporting Persons"). The Reporting Persons are passive investors in the Issuer and are voluntarily filing this Form 4 as a result of acquiring over 20% of the Issuer's outstanding shares of Common Stock. The Reporting Persons have not acquired the shares with a purpose or effect of changing or influencing control of the Issuer. 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. Shares held in certain separately managed accounts (the "Managed Accounts"). LCS, as the investment manager to the Managed Accounts, may be deemed to beneficially own such shares. LCS does not have a reportable pecuniary interest under Section 16a-1(a)(2) of the Exchange Act in the shares held in the Managed Accounts, as LCS receives an asset-based management fee for serving as investment manager to the Managed Accounts, except that with respect to 50,711 shares held in the Managed Accounts, LCS receives a performance-based incentive fee. The performance-based incentive fee LCS receives also does not constitute a reportable pecuniary interest under Section 16a-1(a)(2) of the Exchange Act, as such fee is based on the performance of the overall account, over a period of one year or more, and the shares of the Issuer held in such accounts constitute no more than 10% of the market value thereof. For the reasons set forth in footnote 3, none of LCS GP, Trilogy, LCSL, Levcap, LCSEP, Safinia, LCSLS and Mr. Levin have a reportable pecuniary interest in the shares held in the Managed Accounts. Shares held by the Transamerica Large Cap Value Fund ("Transamerica"). LCS, as the sub-investment advisor to Transamerica, may be deemed to share voting and dispositive power over the shares held by Transamerica. LCS receives an asset-based management fee for serving as sub-investment advisor to Transamerica. Accordingly, LCS does not have a reportable pecuniary interest in the shares held by Transamerica. In addition, none of LCS GP, Trilogy, LCSL, Levcap, LCSEP, Safinia, LCSLS and Mr. Levin have a reportable pecuniary interest in the shares held by Transamerica. Shares owned directly by Trilogy. LCSL, as the general partner of the domestic feeder fund which owns a controlling interest in Trilogy, may be deemed to share voting and dispositive power over the shares owned directly by Trilogy. LCS, as the investment advisor of Trilogy, may be deemed to share voting and dispositive power over the shares owned directly by Trilogy. Mr. Levin, as the Chief Executive Officer of LCS, may be deemed to share voting and dispositive power over the shares owned directly by Trilogy. Shares owned directly by Levcap. LCSEP, as the general partner of Levcap, may be deemed to share voting and dispositive power over the shares owned directly by Levcap. LCS, as the investment advisor of Levcap, may be deemed to share voting and dispositive power over the shares owned directly by Levcap. Mr. Levin, as the Chief Executive Officer of LCS, may be deemed to share voting and dispositive power over the shares owned directly by Levcap. Shares owned directly by Safinia. LCSLS, as the general partner of Safinia, may be deemed to share voting and dispositive power over the shares owned directly by Safinia. LCS, as the investment advisor of Safinia, may be deemed to share voting and dispositive power over the shares owned directly by Safinia. Mr. Levin, as the Chief Executive Officer of LCS, may be deemed to share voting and dispositive power over the shares owned directly by Safinia. The prices reported in Column 4 are a weighted average price. The 80,000, 61,416, 11,784 and 6,000 shares were purchased in multiple transactions at prices ranging from $4.43 to $4.435, $4.4325 to $4.50, $4.38 to $4.435 and $4.34 to $4.435, respectively. The Reporting Persons undertake to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares purchased at each separate price within the ranges set forth in this footnote 9 to this Form 4. Levin Capital Strategies, L.P.; By: /s/ John A. Levin, Chief Executive Officer 2016-11-07 Levin Capital Strategies GP, LLC; By: John A. Levin 2005 GRAT Separation Trust; By: /s/ Elisabeth Levin, Trustee 2016-11-07 Levin Capital Trilogy Master Fund, Ltd.; By: LCS, LLC; By: /s/ John A. Levin, Managing Member 2016-11-07 LCS, LLC; By: /s/ John A. Levin, Managing Member 2016-11-07 Levcap Alternative Fund, L.P.; By: LCS Event Partners, LLC; By: /s/ John A. Levin, Managing Member 2016-11-07 LCS Event Partners, LLC; By: /s/ John A. Levin, Managing Member 2016-11-07 Safinia Partners, L.P.; By: LCS L/S, LLC; By: /s/ John A. Levin, Managing Member 2016-11-07 LCS L/S, LLC; By: /s/ John A. Levin, Managing Member 2016-11-07 /s/ John A. Levin 2016-11-07