Statement of Changes in Beneficial Ownership (4)
March 01 2021 - 3:36PM
Edgar (US Regulatory)
FORM 4
[ ]
Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b).
UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OF SECURITIES
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3235-0287
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Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934 or Section 30(h) of the Investment Company Act of 1940
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1. Name and Address of Reporting Person
*
Bennett Todd C. |
2. Issuer Name and Ticker or Trading Symbol
LUMINEX CORP
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LMNX
]
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5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
_____ Director _____ 10% Owner __X__ Officer (give title below) _____ Other (specify below) SVP, Global Sales & Cust Ops |
(Last)
(First)
(Middle)
12212 TECHNOLOGY BLVD |
3. Date of Earliest Transaction
(MM/DD/YYYY)
2/25/2021 |
(Street)
AUSTIN, TX 78727
(City)
(State)
(Zip)
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4. If Amendment, Date Original Filed
(MM/DD/YYYY)
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6. Individual or Joint/Group Filing
(Check Applicable Line)
_X
_ Form filed by One Reporting Person
___ Form filed by More than One Reporting Person
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Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
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1.Title of Security (Instr. 3)
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2. Trans. Date
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2A. Deemed Execution Date, if any
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3. Trans. Code (Instr. 8)
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4. Securities Acquired (A) or Disposed of (D) (Instr. 3, 4 and 5)
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5. Amount of Securities Beneficially Owned Following Reported Transaction(s) (Instr. 3 and 4)
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6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4)
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7. Nature of Indirect Beneficial Ownership (Instr. 4)
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Code
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V
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Amount
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(A) or (D)
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Price
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Common Stock | 2/25/2021 | | M | | 745 | A | $15.93 | 34878 | D | |
Common Stock | 2/25/2021 | | M | | 8507 | A | $16.74 | 43385 | D | |
Common Stock | 2/25/2021 | | M | | 31285 | A | $19.13 | 74670 | D | |
Common Stock | 2/25/2021 | | M | | 18771 | A | $19.13 | 93441 | D | |
Common Stock | 2/25/2021 | | M | | 43955 | A | $18.04 | 137396 | D | |
Common Stock | 2/25/2021 | | M | | 12848 | A | $21.98 | 150244 | D | |
Common Stock | 2/25/2021 | | M | | 5396 | A | $24.43 | 155640 | D | |
Common Stock | 2/25/2021 | | S | | 40537 (1) | D | $33.0702 | 115103 | D | |
Common Stock | 2/25/2021 | | S | | 80970 (1) | D | $34.5501 | 34197 (2) | D | |
Table II - Derivative Securities Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities)
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1. Title of Derivate Security (Instr. 3) | 2. Conversion or Exercise Price of Derivative Security | 3. Trans. Date | 3A. Deemed Execution Date, if any | 4. Trans. Code (Instr. 8) | 5. Number of Derivative Securities Acquired (A) or Disposed of (D) (Instr. 3, 4 and 5) | 6. Date Exercisable and Expiration Date | 7. Title and Amount of Securities Underlying Derivative Security (Instr. 3 and 4) | 8. Price of Derivative Security (Instr. 5) | 9. Number of derivative Securities Beneficially Owned Following Reported Transaction(s) (Instr. 4) | 10. Ownership Form of Derivative Security: Direct (D) or Indirect (I) (Instr. 4) | 11. Nature of Indirect Beneficial Ownership (Instr. 4) |
Code | V | (A) | (D) | Date Exercisable | Expiration Date | Title | Amount or Number of Shares |
Stock Option (Right To Buy) | $15.93 | 2/25/2021 | | M | | | 745 | 3/11/2017 | 3/11/2022 | Common Stock | 745.0 | $15.93 | 0 | D | |
Stock Option (Right To Buy) | $16.74 | 2/25/2021 | | M | | | 8507 | 7/16/2017 | 10/1/2022 | Common Stock | 8507.0 | $16.74 | 0 | D | |
Stock Option (Right To Buy) | $19.13 | 2/25/2021 | | M | | | 31285 | 3/22/2017 | 3/22/2023 | Common Stock | 31285.0 | $19.13 | 0 | D | |
Stock Option (Right To Buy) | $19.13 | 2/25/2021 | | M | | | 18771 | 3/22/2017 | 3/22/2023 | Common Stock | 18771.0 | $19.13 | 0 | D | |
Stock Option (Right To Buy) | $18.04 | 2/25/2021 | | M | | | 43955 | 3/10/2018 | 3/10/2024 | Common Stock | 43955.0 | $18.04 | 14652 | D | |
Stock Option (Right To Buy) | $21.98 | 2/25/2021 | | M | | | 12848 | 3/12/2019 | 3/12/2025 | Common Stock | 12848.0 | $21.98 | 12849 | D | |
Stock Option (Right To Buy) | $24.43 | 2/25/2021 | | M | | | 5396 | 3/12/2020 | 3/12/2026 | Common Stock | 5396.0 | $24.43 | 16191 | D | |
Explanation of Responses: |
(1) | This sale is being made pursuant to a trading plan intended to comply with Rule 10b5-1 adopted by the seller on August 26, 2020. 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. |
(2) | This balance includes a total of 64 shares obtained under the Luminex Corporation Employee Stock Purchase Plan. 34 shares obtained March 29, 2020 and 30 shares obtained November 30, 2020. |
Reporting Owners
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Reporting Owner Name / Address | Relationships |
Director | 10% Owner | Officer | Other |
Bennett Todd C. 12212 TECHNOLOGY BLVD AUSTIN, TX 78727 |
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| SVP, Global Sales & Cust Ops |
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Signatures
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/S/ HARRISS T.CURRIE AS ATTORNEY-IN-FACT FOR TODD C. BENNETT | | 2/26/2021 |
**Signature of Reporting Person | Date |
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