SEC Form 4 · accession 0001033905-17-000057
LUMINEX CORP · LMNX
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
G Walter Loewenbaum II
Director
Period of report
May 18, 2017
Accepted (ET)
May 22, 2017 · 3:09 pm EDT
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,F2 | May 18, 2017 | S | 25,000 | $20.80 | D | 763,753 | D | |
| Common Stock | May 18, 2017 | G | 10,000 | $0.00 | D | 753,753 | D | |
| Common Stock | May 18, 2017 | A | 10,143 | $0.00 | A | 763,896 | D | |
| Common StockF3,F4 | holding | — | — | — | 879,528 | I | Spouse | |
| Common StockF4 | holding | — | — | — | 96,614 | I | Partnership | |
| Common StockF4 | holding | — | — | — | 462,947 | 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 $20.78 to $20.81 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 to this Form 4.
- F2This total includes a distribution from an annuity trust of 22,366 shares into Mr. Loewenbaum's direct ownership in February 2017, and 147 dividend reinvestment shares on deferred vested RSUs for the April 14 dividend payable date.
- F3This total includes a distribution from an annuity trust in the amount of 22,366 in February 2017 into Lillian Loewenbaum's direct ownership, and a further transfer of 100,000 shares from a trust into Lillian Loewenbaum's direct ownership in May 2017.
- F4The 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.