SEC Form 4 · accession 0001033905-16-000202
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 28, 2016
Accepted (ET)
Nov 30, 2016 · 4:13 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 StockF1 | Nov 28, 2016 | S | 50,000 | $20.57 | D | 749,414 | D | |
| Common Stock | Nov 28, 2016 | G | 45,374 | $0.00 | D | 704,040 | D | |
| Common Stock | Aug 10, 2016 | G | 15,434 | $0.00 | D | 688,606 | D | |
| Common StockF2,F3 | holding | — | — | — | 879,528 | I | Spouse | |
| Common StockF3 | holding | — | — | — | 96,614 | I | Partnership | |
| Common StockF2,F3 | holding | — | — | — | 666,979 | 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 price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $20.32 to $20.85 inclusive. Mr. Loewenbaum undertakes to provide to 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 sold at each separate price within the range set forth in this footnote 1 to this Form 4.
- F2Grat distributions totaling 65,573 shares were made from an annuity trust benefiting the reporting owner's spouse into her direct ownership on November 30, 2016.
- 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.