SEC Form SC 13G filed by Fluidigm Corporation
SECURITIES AND EXCHANGE COMMISSION
1(b),(c) AND (d) AND AMENDMENTS THERETO FILED PURSUANT TO 13d-2
UNDER THE SECURITIES EXCHANGE ACT OF 1934*
CUSIP No. 74276L105
|
13G
|
Page 2 of 22 Pages
|
1
|
NAME OF REPORTING PERSON
Viking Global Investors LP |
||||
2
|
CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP*
(a) ☐
(b) ☒ |
||||
3
|
SEC USE ONLY
|
||||
4
|
CITIZENSHIP OR PLACE OF ORGANIZATION
Delaware |
||||
NUMBER OF
SHARES
BENEFICIALLY
OWNED BY
EACH
REPORTING
PERSON
WITH
|
5
|
SOLE VOTING POWER
0
|
|||
6
|
SHARED VOTING POWER
8,103,527*
|
||||
7
|
SOLE DISPOSITIVE POWER
0
|
||||
8
|
SHARED DISPOSITIVE POWER
8,103,527*
|
||||
9
|
AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
8,103,527*
|
||||
10
|
CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES*
|
||||
11
|
PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW 9
9.5%*
|
||||
12
|
TYPE OF REPORTING PERSON
PN
|
||||
CUSIP No. 74276L105
|
13G
|
Page 3 of 22 Pages
|
1
|
NAME OF REPORTING PERSON
Viking Global Opportunities Parent GP LLC |
||||
2
|
CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP*
(a) ☐
(b) ☒ |
||||
3
|
SEC USE ONLY
|
||||
4
|
CITIZENSHIP OR PLACE OF ORGANIZATION
Delaware |
||||
NUMBER OF
SHARES
BENEFICIALLY
OWNED BY
EACH
REPORTING
PERSON
WITH
|
5
|
SOLE VOTING POWER
0
|
|||
6
|
SHARED VOTING POWER
8,103,527*
|
||||
7
|
SOLE DISPOSITIVE POWER
0
|
||||
8
|
SHARED DISPOSITIVE POWER
8,103,527*
|
||||
9
|
AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
8,103,527*
|
||||
10
|
CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES*
|
||||
11
|
PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW 9
9.5%*
|
||||
12
|
TYPE OF REPORTING PERSON
OO
|
||||
CUSIP No. 74276L105
|
13G
|
Page 4 of 22 Pages
|
1
|
NAME OF REPORTING PERSON
Viking Global Opportunities GP LLC |
||||
2
|
CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP*
(a) ☐
(b) ☒ |
||||
3
|
SEC USE ONLY
|
||||
4
|
CITIZENSHIP OR PLACE OF ORGANIZATION
Delaware |
||||
NUMBER OF
SHARES
BENEFICIALLY
OWNED BY
EACH
REPORTING
PERSON
WITH
|
5
|
SOLE VOTING POWER
0
|
|||
6
|
SHARED VOTING POWER
5,429,410*
|
||||
7
|
SOLE DISPOSITIVE POWER
0
|
||||
8
|
SHARED DISPOSITIVE POWER
5,429,410*
|
||||
9
|
AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
5,429,410*
|
||||
10
|
CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES*
|
||||
11
|
PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW 9
6.4%*
|
||||
12
|
TYPE OF REPORTING PERSON
OO
|
||||
CUSIP No. 74276L105
|
13G
|
Page 5 of 22 Pages
|
1
|
NAME OF REPORTING PERSON
Viking Global Opportunities Portfolio GP LLC |
||||
2
|
CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP*
(a) ☐
(b) ☒ |
||||
3
|
SEC USE ONLY
|
||||
4
|
CITIZENSHIP OR PLACE OF ORGANIZATION
Delaware |
||||
NUMBER OF
SHARES
BENEFICIALLY
OWNED BY
EACH
REPORTING
PERSON
WITH
|
5
|
SOLE VOTING POWER
0
|
|||
6
|
SHARED VOTING POWER
5,429,410*
|
||||
7
|
SOLE DISPOSITIVE POWER
0
|
||||
8
|
SHARED DISPOSITIVE POWER
5,429,410*
|
||||
9
|
AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
5,429,410*
|
||||
10
|
CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES*
|
||||
11
|
PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW 9
6.4%*
|
||||
12
|
TYPE OF REPORTING PERSON
OO
|
||||
CUSIP No. 74276L105
|
13G
|
Page 6 of 22 Pages
|
1
|
NAME OF REPORTING PERSON
Viking Global Opportunities Illiquid Investments Sub-Master LP |
||||
2
|
CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP*
(a) ☐
(b) ☒ |
||||
3
|
SEC USE ONLY
|
||||
4
|
CITIZENSHIP OR PLACE OF ORGANIZATION
Cayman Islands |
||||
NUMBER OF
SHARES
BENEFICIALLY
OWNED BY
EACH
REPORTING
PERSON
WITH
|
5
|
SOLE VOTING POWER
0
|
|||
6
|
SHARED VOTING POWER
5,429,410*
|
||||
7
|
SOLE DISPOSITIVE POWER
0
|
||||
8
|
SHARED DISPOSITIVE POWER
5,429,410*
|
||||
9
|
AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
5,429,410*
|
||||
10
|
CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES*
|
||||
11
|
PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW 9
6.4%*
|
||||
12
|
TYPE OF REPORTING PERSON*
PN
|
||||
CUSIP No. 74276L105
|
13G
|
Page 7 of 22 Pages
|
1
|
NAME OF REPORTING PERSON
Viking Global Opportunities Drawdown GP LLC
|
||||
2
|
CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP*
(a) ☐
(b) ☒ |
||||
3
|
SEC USE ONLY
|
||||
4
|
CITIZENSHIP OR PLACE OF ORGANIZATION
Delaware |
||||
NUMBER OF
SHARES
BENEFICIALLY
OWNED BY
EACH
REPORTING
PERSON
WITH
|
5
|
SOLE VOTING POWER
0
|
|||
6
|
SHARED VOTING POWER
2,674,117*
|
||||
7
|
SOLE DISPOSITIVE POWER
0
|
||||
8
|
SHARED DISPOSITIVE POWER
2,674,117*
|
||||
9
|
AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
2,674,117*
|
||||
10
|
CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES*
|
||||
11
|
PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW 9
3.1%*
|
||||
12
|
TYPE OF REPORTING PERSON
OO
|
||||
CUSIP No. 74276L105
|
13G
|
Page 8 of 22 Pages
|
1
|
NAME OF REPORTING PERSON
Viking Global Opportunities Drawdown Portfolio GP LLC
|
||||
2
|
CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP*
(a) ☐
(b) ☒ |
||||
3
|
SEC USE ONLY
|
||||
4
|
CITIZENSHIP OR PLACE OF ORGANIZATION
Delaware |
||||
NUMBER OF
SHARES
BENEFICIALLY
OWNED BY
EACH
REPORTING
PERSON
WITH
|
5
|
SOLE VOTING POWER
0
|
|||
6
|
SHARED VOTING POWER
2,674,117*
|
||||
7
|
SOLE DISPOSITIVE POWER
0
|
||||
8
|
SHARED DISPOSITIVE POWER
2,674,117*
|
||||
9
|
AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
2,674,117*
|
||||
10
|
CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES*
|
||||
11
|
PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW 9
3.1%*
|
||||
12
|
TYPE OF REPORTING PERSON
OO
|
||||
CUSIP No. 74276L105
|
13G
|
Page 9 of 22 Pages
|
1
|
NAME OF REPORTING PERSON
Viking Global Opportunities Drawdown (Aggregator) LP
|
||||
2
|
CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP*
(a) ☐
(b) ☒ |
||||
3
|
SEC USE ONLY
|
||||
4
|
CITIZENSHIP OR PLACE OF ORGANIZATION
Cayman Islands |
||||
NUMBER OF
SHARES
BENEFICIALLY
OWNED BY
EACH
REPORTING
PERSON
WITH
|
5
|
SOLE VOTING POWER
0
|
|||
6
|
SHARED VOTING POWER
2,674,117*
|
||||
7
|
SOLE DISPOSITIVE POWER
0
|
||||
8
|
SHARED DISPOSITIVE POWER
2,674,117*
|
||||
9
|
AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
2,674,117*
|
||||
10
|
CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES*
|
||||
11
|
PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW 9
3.1%*
|
||||
12
|
TYPE OF REPORTING PERSON
OO
|
||||
CUSIP No. 74276L105
|
13G
|
Page 10 of 22 Pages
|
1
|
NAME OF REPORTING PERSON
O. Andreas Halvorsen
|
||||
2
|
CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP*
(a) ☐
(b) ☒ |
||||
3
|
SEC USE ONLY
|
||||
4
|
CITIZENSHIP OR PLACE OF ORGANIZATION
Norway |
||||
NUMBER OF SHARES
BENEFICIALLY
OWNED BY
EACH
REPORTING
PERSON
WITH
|
5
|
SOLE VOTING POWER
0
|
|||
6
|
SHARED VOTING POWER
8,103,527*
|
||||
7
|
SOLE DISPOSITIVE POWER
0
|
||||
8
|
SHARED DISPOSITIVE POWER
8,103,527*
|
||||
9
|
AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
8,103,527*
|
||||
10
|
CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES*
|
||||
11
|
PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW 9
9.5%*
|
||||
12
|
TYPE OF REPORTING PERSON*
IN
|
||||
CUSIP No. 74276L105
|
13G
|
Page 11 of 22 Pages
|
1
|
NAME OF REPORTING PERSON
David C. Ott
|
||||
2
|
CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP*
(a) ☐
(b) ☒ |
||||
3
|
SEC USE ONLY
|
||||
4
|
CITIZENSHIP OR PLACE OF ORGANIZATION
United States |
||||
NUMBER OF SHARES
BENEFICIALLY
OWNED BY
EACH
REPORTING
PERSON
WITH
|
5
|
SOLE VOTING POWER
0
|
|||
6
|
SHARED VOTING POWER
8,103,527*
|
||||
7
|
SOLE DISPOSITIVE POWER
0
|
||||
8
|
SHARED DISPOSITIVE POWER
8,103,527*
|
||||
9
|
AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
8,103,527*
|
||||
10
|
CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES*
|
||||
11
|
PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW 9
9.5%*
|
||||
12
|
TYPE OF REPORTING PERSON*
IN
|
||||
CUSIP No. 74276L105
|
13G
|
Page 12 of 22 Pages
|
1
|
NAME OF REPORTING PERSON
Rose S. Shabet
|
||||
2
|
CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP*
(a) ☐
(b) ☒ |
||||
3
|
SEC USE ONLY
|
||||
4
|
CITIZENSHIP OR PLACE OF ORGANIZATION
United States |
||||
NUMBER OF SHARES
BENEFICIALLY
OWNED BY
EACH
REPORTING
PERSON
WITH
|
5
|
SOLE VOTING POWER
0
|
|||
6
|
SHARED VOTING POWER
8,103,527*
|
||||
7
|
SOLE DISPOSITIVE POWER
0
|
||||
8
|
SHARED DISPOSITIVE POWER
8,103,527*
|
||||
9
|
AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
8,103,527*
|
||||
10
|
CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES*
|
||||
11
|
PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW 9
9.5%*
|
||||
12
|
TYPE OF REPORTING PERSON*
IN
|
||||
CUSIP No. 74276L105
|
13G
|
Page 13 of 22 Pages
|
Item 1(a). |
Name of Issuer:
|
Item 1(b). |
Address of Issuer’s Principal Executive Offices:
|
Item 2(a). |
Name of Person Filing:
|
Item 2(b). |
Address of Principal Business Office or, if none, Residence:
|
Item 2(c). |
Citizenship:
|
Item 2(d). |
Titles of Classes of Securities:
|
Item 2(e). |
CUSIP NUMBER: 34385P108
|
Item 3. |
If This Statement is Filed Pursuant to Rule 13d-1(b), or 13d-2(b) or (c), Check Whether the Person Filing is a:
|
(a) |
☐ Broker or dealer registered under Section 15 of the Exchange Act
|
(b) |
☐ Bank as defined in Section 3(a)(6) of the Exchange Act
|
(c) |
☐ Insurance company as defined in Section 3(a)(19) of the Exchange Act
|
(d) |
☐ Investment company registered under Section 8 of the Investment Company Act of 1940
|
(e) |
☐ Investment Adviser registered under Section 203 of the Investment Advisers Act of 1940: see Rule 13d-1(b)(1)(ii)(E)
|
CUSIP No. 74276L105
|
13G
|
Page 14 of 22 Pages
|
(f) |
☐ Employee Benefit Plan, Pension Fund which is subject to the provisions of the Employee Retirement Income Security Act of 1974 or Endowment Fund; see
Rule 13d-1(b)(1)(ii)(F)
|
(g) |
☐ Parent holding company, in accordance with Rule 13d-1(b)(1)(ii)(G).
|
(h) |
☐ Savings Association as defined in Section 3(b) of the Federal Deposit Insurance Act.
|
(i) |
☐ Church Plan that is excluded from the definition of an investment company under Section 3(c)(14) of the Investment Company Act of 1940.
|
(j) |
☐ Non-U.S. institution in accordance with Rule 240.13d-1(b)(1)(ii)(J). If filing as a non-U.S. institution in accordance with Rule
240.13d-1(b)(1)(ii)(J), please specify the type of institution:
|
(k) |
☐ Group, in accordance with Rule 240.13d-1(b)(1)(ii)(K).
|
Item 4. |
Ownership:
|
A. |
VGI
|
(a) |
Amount beneficially owned: 8,103,527
|
(b) |
Percent of Class: 9.5%
|
(c) |
Number of shares as to which such person has:
|
(i) |
Sole power to vote or to direct the vote: 0
|
(ii) |
Shared power to vote or to direct the vote: 8,103,527
|
CUSIP No. 74276L105
|
13G
|
Page 15 of 22 Pages
|
(iii) |
Sole power to dispose or to direct the disposition of: 0
|
(iv) |
Shared power to dispose or to direct the disposition of: 8,103,527
|
B. |
Opportunities Parent
|
(a) |
Amount beneficially owned: 8,103,527
|
(b) |
Percent of Class: 9.5%
|
(c) |
Number of shares as to which such person has:
|
(i) |
Sole power to vote or to direct the vote: 0
|
(ii) |
Shared power to vote or to direct the vote: 8,103,527
|
(iii) |
Sole power to dispose or to direct the disposition of: 0
|
(iv) |
Shared power to dispose or to direct the disposition of: 8,103,527
|
CUSIP No. 74276L105
|
13G
|
Page 16 of 22 Pages
|
C. |
Opportunities GP
|
(a) |
Amount beneficially owned: 5,429,410
|
(b) |
Percent of Class: 6.4%
|
(c) |
Number of shares as to which such person has:
|
(i) |
Sole power to vote or to direct the vote: 0
|
(ii) |
Shared power to vote or to direct the vote: 5,429,410
|
(iii) |
Sole power to dispose or to direct the disposition of: 0
|
(iv) |
Shared power to dispose or to direct the disposition of: 5,429,410
|
Opportunities GP serves as the sole member of Opportunities Portfolio GP and has the authority to dispose of and vote the shares of Common Stock controlled by Opportunities Portfolio GP, which consists of the shares of Common Stock that VGOP has the right to acquire upon conversion of the Series B-2 Preferred Stock. In addition, Opportunities GP is the general partner of each of Viking Global Opportunities Intermediate LP, Viking Global Opportunities III LP, and Viking Global Opportunities LP. Opportunities GP does not directly own any shares of Common Stock or Series B-2 Preferred Stock.
D. |
Opportunities Portfolio GP
|
(a) |
Amount beneficially owned: 5,429,410
|
(b) |
Percent of Class: 6.4%
|
(c) |
Number of shares as to which such person has:
|
(i) |
Sole power to vote or to direct the vote: 0
|
(ii) |
Shared power to vote or to direct the vote: 5,429,410
|
(iii) |
Sole power to dispose or to direct the disposition of: 0
|
(iv) |
Shared power to dispose or to direct the disposition of: 5,429,410
|
CUSIP No. 74276L105
|
13G
|
Page 17 of 22 Pages
|
E. |
VGOP
|
(a) |
Amount beneficially owned: 5,429,410
|
(b) |
Percent of Class: 6.4%
|
(c) |
Number of shares as to which such person has:
|
(i) |
Sole power to vote or to direct the vote: 0
|
(ii) |
Shared power to vote or to direct the vote: 5,429,410
|
(iii) |
Sole power to dispose or to direct the disposition of: 0
|
(iv) |
Shared power to dispose or to direct the disposition of: 5,429,410
|
F. |
VGOD GP
|
(a) |
Amount beneficially owned: 2,674,117
|
(b) |
Percent of Class: 3.1%
|
(c) |
Number of shares as to which such person has:
|
(i) |
Sole power to vote or to direct the vote: 0
|
(ii) |
Shared power to vote or to direct the vote: 2,674,117
|
(iii) |
Sole power to dispose or to direct the disposition of: 0
|
CUSIP No. 74276L105
|
13G
|
Page 18 of 22 Pages
|
(iv) |
Shared power to dispose or to direct the disposition of: 2,674,117
|
G. |
VGOD Portfolio GP
|
(a) |
Amount beneficially owned: 2,674,117
|
(b) |
Percent of Class: 3.1%
|
(c) |
Number of shares as to which such person has:
|
(i) |
Sole power to vote or to direct the vote: 0
|
(ii) |
Shared power to vote or to direct the vote: 2,674,117
|
(iii) |
Sole power to dispose or to direct the disposition of: 0
|
(iv) |
Shared power to dispose or to direct the disposition of: 2,674,117
|
H. |
VGOD
|
(a) |
Amount beneficially owned: 2,674,117
|
CUSIP No. 74276L105
|
13G
|
Page 19 of 22 Pages
|
(b) |
Percent of Class: 3.1%
|
(c) |
Number of shares as to which such person has:
|
(i) |
Sole power to vote or to direct the vote: 0
|
(ii) |
Shared power to vote or to direct the vote: 2,674,117
|
(iii) |
Sole power to dispose or to direct the disposition of: 0
|
(iv) |
Shared power to dispose or to direct the disposition of: 2,674,117
|
I. |
(a) |
Amount beneficially owned: 8,103,527
|
(b) |
Percent of Class: 9.5%
|
(c) |
Number of shares as to which such person has:
|
(i) |
Sole power to vote or to direct the vote: 0
|
(ii) |
Shared power to vote or to direct the vote: 8,103,527
|
(iii) |
Sole power to dispose or to direct the disposition of: 0
|
(iv) |
Shared power to dispose or to direct the disposition of: 8,103,527
|
CUSIP No. 74276L105
|
13G
|
Page 20 of 22 Pages
|
Item 5. |
Ownership of Five Percent or Less of a Class.
|
Item 6. |
Ownership of More than Five Percent on Behalf of Another Person.
|
Item 7. |
Identification and Classification of the Subsidiary Which Acquired the Security Being Reported on by the Parent Holding Company.
|
Item 8. |
Identification and Classification of Members of the Group.
|
Item 9. |
Notice of Dissolution of Group.
|
Item 10. |
Certification. (if filing pursuant to Rule 13d-1(c))
|
CUSIP No. 74276L105
|
13G
|
Page 21 of 22 Pages
|
By:
|
/s/ Scott M. Hendler
|
||
Name:
|
Scott M. Hendler on behalf of O. Andreas Halvorsen (1)
|
||
By:
|
/s/ Scott M. Hendler
|
||
Name:
|
Scott M. Hendler on behalf of David C. Ott (2)
|
||
By:
|
/s/ Scott M. Hendler
|
||
Name:
|
Scott M. Hendler on behalf of Rose S. Shabet (3)
|
CUSIP No. 74276L105
|
13G
|
Page 22 of 22 Pages
|
By:
|
/s/ Scott M. Hendler
|
||
Name:
|
Scott M. Hendler on behalf of O. Andreas Halvorsen (1)
|
||
By:
|
/s/ Scott M. Hendler
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Name:
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Scott M. Hendler on behalf of David C. Ott (2)
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By:
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/s/ Scott M. Hendler
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Name:
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Scott M. Hendler on behalf of Rose S. Shabet (3)
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