SEC Form 4 · accession 0001033905-15-000109
LUMINEX CORP · LMNX
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
G Walter Loewenbaum II
Director
Period of report
Nov 30, 2015
Accepted (ET)
Dec 2, 2015 · 4:31 pm EST
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001033905
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common Stock | Sep 3, 2015 | G | 5,000 | $0.00 | D | 928,583 | D | |
| Common StockF2 | Nov 30, 2015 | S | 80,000 | $21.6417 | D | 848,583 | D | |
| Common StockF3 | Sep 3, 2015 | G | 5,000 | $0.00 | D | 813,955 | I | Spouse |
| Common StockF3 | holding | — | — | — | 96,614 | I | Partnership | |
| Common StockF3 | holding | — | — | — | 732,552 | I | Trusts | |
| Common Stock | holding | — | — | — | 45,000 | I | Limited Liability Company |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1The sale of the securities was performed in conjunction with the reporting owner's year end tax planning. The reporting owner has also entered a 10b5-1 plan to sell an additional 60,000 shares starting 12/30/2015.
- F2The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $21.50 to $21.8992 inclusive. Mr. Loewenbaum undertakes to provide Luminex Corporation, any security holder of Luminex Corporation, 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 range, set forth in this footnote 2 to this Form 4.
- F3The reporting person disclaims beneficial ownership of these securities except to the extent of his pecuniary interest therein, and the inclusion of these shares in this report shall not be deemed an admission of beneficial ownership of all of the reported shares for purposes of Section 16 or for any other purpose.