Item 5. Other Information
Item 5. Other Information
None.
69
Item 6. Exhibits
The documents listed in the Exhibit List, which follows below, are incorporated by reference or are filed with this quarterly report on Form 10-Q, in each case as indicated therein (numbered in accordance with Item 601 of Regulation S-K).
EXHIBIT LIST
Exhibit
Number Description Incorporated
by Reference
From Form Incorporated
by Reference
From Exhibit
Number Date Filed
10.1* Contract by and between the National Institutes of Health and the r egistrant effective as of July 30, 2020, as amended September 28, 2020.
Filed herewith
10.2* Second Amended and Restated License Agreement between California Institute of Technology and the registrant effective as of May 1, 2004.
Filed herewith
10.2A* First Addendum, effective as of March 29, 2007, to Second Amended and Restated License Agreement between California Institute of Technology and the registrant effective as of May 1, 2004.
Filed herewith
10.3* Co-Exclusive License Agreement between President and Fellows of Harvard College and the registrant effective as of October 15, 2000.
Filed herewith
10.3A* First Amendment to Co-Exclusive License Agreement between President and Fellows of Harvard College and the registrant effective as of October 15, 2000.
Filed herewith
10.4* Co-Exclusive License Agreement between President and Fellows of Harvard College and the registrant effective as of October 15, 2000.
Filed herewith
10.5* Co-Exclusive License Agreement between President and Fellows of Harvard College and the registrant effective as of October 15, 2000.
Filed herewith
10.6* Letter Agreement between President and Fellows of Harvard College and the registrant dated December 22, 2004.
Filed herewith
31.1 Certification Pursuant to 18 U.S.C. Section 1350, as Adopted Pursuant to Section 302 of the Sarbanes-Oxley Act of 2002 of Chief Executive Officer.
Filed herewith
31.2 Certification Pursuant to 18 U.S.C. Section 1350, as Adopted Pursuant to Section 302 of the Sarbanes-Oxley Act of 2002 of Chief Financial Officer.
Filed herewith
32.1 (1)
Certification Pursuant to 18 U.S.C. Section 1350, as Adopted Pursuant to Section 906 of the Sarbanes-Oxley Act of 2002 of Chief Executive Officer.
Filed herewith
32.2 (1)
Certification Pursuant to 18 U.S.C. Section 1350, as Adopted Pursuant to Section 906 of the Sarbanes-Oxley Act of 2002 of Chief Executive Officer.
Filed herewith
101.INS XBRL Instance Document - the instance document does not appear in the Interactive Data File because its XBRL tags are embedded within the Inline XBRL document. Filed herewith
101.SCH XBRL Taxonomy Extension Schema Document Filed herewith
101.CAL XBRL Taxonomy Extension Calculation Linkbase Document Filed herewith
101.DEF XBRL Taxonomy Extension Definition Linkbase Document Filed herewith
101.LAB XBRL Taxonomy Extension Label Document Filed herewith
101.PRE XBRL Taxonomy Extension Presentation Document Filed herewith
(1) In accordance with Item 601(b)(32)(ii) of Regulation S-K and SEC Release No. 33-8238 and 34-47986, Final Rule: Management’s Reports on Internal Control Over Financial Reporting and Certification of Disclosure in Exchange Act Periodic Reports, the certifications furnished in Exhibits 32.1 and 32.2 hereto are deemed to accompany this Form 10-Q and will not be deemed “filed” for purposes of Section 18 of the Exchange Act. Such certifications will not be deemed to be incorporated by reference into any filings under the Securities Act or the Exchange Act, except to the extent that the registrant specifically incorporates it by reference.
* Portions of this exhibit have been redacted in compliance with Regulation S-K Item 601(b)(10)(iv).
70
SIGNATURES
Pursuant to the requirements of the Securities Exchange Act of 1934, the registrant has duly caused this report to be signed on its behalf by the undersigned, thereunto duly authorized.
FLUIDIGM CORPORATION
Dated: November 6, 2020 By: /s/ Stephen Christopher Linthwaite
Stephen Christopher Linthwaite
President and Chief Executive Officer
Dated: November 6, 2020 By: /s/ Vikram Jog
Vikram Jog
Chief Financial Officer
71