SEC Form 4 · accession 0001033905-17-000109
LUMINEX CORP · LMNX
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
G Walter Loewenbaum II
Director
Period of report
Dec 13, 2017
Accepted (ET)
Dec 15, 2017 · 2:50 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,F2 | Dec 13, 2017 | S | 15,223 | $20.4928 | D | 609,538 | D | |
| Common StockF1,F3 | Dec 14, 2017 | S | 16,516 | $20.4869 | D | 593,022 | D | |
| Common StockF4 | holding | — | — | — | 909,415 | I | Spouse | |
| Common StockF4 | holding | — | — | — | 96,614 | I | Partnership | |
| Common StockF4 | holding | — | — | — | 428,520 | I | Trusts | |
| Common StockF4 | holding | — | — | — | 45,000 | I | Limited Liability Company |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1This sale is being made pursuant to a trading plan intended to comply with Rule 10b5-1 adopted by the seller on November 21, 2017. The representation regarding the seller's knowledge of material adverse non-public information speaks as of the date that the aforementioned trading plan was adopted.
- F2The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $20.15 to $20.58 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.
- F3The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $20.35 to $20.66 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.
- 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.