- Amended Statement of Ownership (SC 13G/A)
13 February 2010 - 6:38AM
Edgar (US Regulatory)
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UNITED
STATES
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SECURITIES
AND EXCHANGE COMMISSION
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Washington,
D.C. 20549
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SCHEDULE
13G
Under
the Securities Exchange Act of 1934
(Amendment No. 2)*
(Name of Issuer)
(Title of Class of
Securities)
(CUSIP Number)
(Date of Event
Which Requires Filing of this Statement)
Check the appropriate box to designate the rule pursuant to which this
Schedule is filed:
x
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Rule 13d-1(b)
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o
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Rule 13d-1(c)
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o
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Rule 13d-1(d)
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*The remainder of this cover page shall be filled out for a reporting
persons initial filing on this form with respect to the subject class of
securities, and for any subsequent amendment containing information which would
alter the disclosures provided in a prior cover page.
The information required in the remainder of this cover page shall not
be deemed to be filed for the purpose of Section 18 of the Securities
Exchange Act of 1934 (Act) or otherwise subject to the liabilities of that
section of the Act but shall be subject to all other provisions of the Act
(however, see the Notes).
CUSIP No. 55027E102
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1.
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Names of Reporting Persons.
I.R.S. Identification Nos. of above persons (entities only).
Sectoral Asset Management, Inc.
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2.
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Check the Appropriate Box
if a Member of a Group (See Instructions)
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(a)
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o
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(b)
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o
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3.
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SEC Use Only
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4.
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Citizenship or Place of
Organization:
Canada
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Number of
Shares
Beneficially
Owned by
Each
Reporting
Person With
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5.
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Sole Voting Power
2,906,325
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6.
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Shared Voting Power
-0-
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7.
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Sole Dispositive Power
3,617,249
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8.
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Shared Dispositive Power
-0-
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9.
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Aggregate Amount
Beneficially Owned by Each Reporting Person
3,617,249
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10.
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Check if the Aggregate
Amount in Row (9) Excludes Certain Shares (See Instructions).
o
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11.
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Percent of Class
Represented by Amount in Row (9)
8.7%
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12.
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Type of Reporting Person
(See Instructions)
IA
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2
CUSIP No. 55027E102
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1.
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Names of Reporting Persons.
I.R.S. Identification Nos. of above persons (entities only).
Jérôme G. Pfund
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2.
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Check the Appropriate Box
if a Member of a Group (See Instructions)
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(a)
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o
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(b)
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o
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3.
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SEC Use Only
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4.
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Citizenship or Place of
Organization:
Swiss
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Number of
Shares
Beneficially
Owned by
Each
Reporting
Person With
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5.
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Sole Voting Power
2,906,325
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6.
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Shared Voting Power
-0-
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7.
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Sole Dispositive Power
3,617,249
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8.
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Shared Dispositive Power
-0-
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9.
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Aggregate Amount
Beneficially Owned by Each Reporting Person
3,617,249
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10.
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Check if the Aggregate
Amount in Row (9) Excludes Certain Shares (See Instructions).
o
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11.
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Percent of Class
Represented by Amount in Row (9)
8.7%
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12.
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Type of Reporting Person
(See Instructions)
IN
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3
CUSIP No. 55027E102
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1.
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Names of Reporting Persons.
I.R.S. Identification Nos. of above persons (entities only).
Michael L. Sjöström
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2.
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Check the Appropriate Box
if a Member of a Group (See Instructions)
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(a)
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o
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(b)
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o
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3.
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SEC Use Only
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4.
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Citizenship or Place of
Organization:
Swiss
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Number of
Shares
Beneficially
Owned by
Each
Reporting
Person With
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5.
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Sole Voting Power
2,906,325
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6.
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Shared Voting Power
-0-
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7.
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Sole Dispositive Power
3,617,249
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8.
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Shared Dispositive Power
-0-
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9.
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Aggregate Amount
Beneficially Owned by Each Reporting Person
3,617,249
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10.
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Check if the Aggregate
Amount in Row (9) Excludes Certain Shares (See Instructions).
o
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11.
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Percent of Class
Represented by Amount in Row (9)
8.7%
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12.
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Type of Reporting Person
(See Instructions)
IN
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4
Item 1.
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(a)
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Name of Issuer:
Luminex Corporation
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(b)
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Address of Issuers
Principal Executive Offices:
12212 Technology Boulevard, Austin, TX 78727, USA
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Item 2.
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(a)
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Name of Person(s) Filing:
Sectoral Asset Management, Inc.
Jérôme G. Pfund
Michael L. Sjöström
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(b)
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Address of Principal
Business Office or, if none, Residence:
The principal business address of each person filing is:
2120-1000 Sherbrooke St.
West Montreal PQ H3A 3G4 Canada
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(c)
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Citizenship:
Sectoral Asset Management, Inc. is a Canadian corporation
Jérôme G. Pfund is a Swiss
citizen
Michael L. Sjöström is a
Swiss citizen
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(d)
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Title of Class of Securities:
Common Stock
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(e)
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CUSIP Number:
55027E102
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Item 3.
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If this statement is filed pursuant
to §§240.13d-1(b) or 240.13d-2(b) or (c), check whether the person filing is
a:
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(a)
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o
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Broker or dealer
registered under section 15 of the Act (15 U.S.C. 78o).
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(b)
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o
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Bank as defined in section
3(a)(6) of the Act (15 U.S.C. 78c).
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(c)
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o
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Insurance company as
defined in section 3(a)(19) of the Act (15 U.S.C. 78c).
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(d)
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o
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Investment company
registered under section 8 of the Investment Company Act of 1940 (15 U.S.C
80a-8).
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(e)
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x
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An investment adviser in
accordance with §240.13d-1(b)(1)(ii)(E);
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(f)
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o
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An employee benefit plan
or endowment fund in accordance with §240.13d-1(b)(1)(ii)(F);
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(g)
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x
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A parent holding company
or control person in accordance with §240.13d-1(b)(1)(ii)(G);
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(h)
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o
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A savings associations as
defined in Section 3(b) of the Federal Deposit Insurance Act (12 U.S.C.
1813);
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(i)
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o
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A church plan that is
excluded from the definition of an investment company under section 3(c)(14)
of the Investment Company Act of 1940 (15 U.S.C. 80a-3);
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(j)
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o
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A non-U.S. institution in
accordance with § 240.13d1(b)(1)(ii)(J);
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(k)
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o
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Group, in accordance with
§ 240.13d1(b)(1)(ii)(K). If filing as a non-U.S. institution in accordance
with
§ 240.13d1(b)(1)(ii)(J),
please specify the type of institution:____________________________
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Item 4.
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Ownership.
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Sectoral Asset Management
Inc., in its capacity as an investment adviser, has the sole right to dispose
of or vote the number of shares of common stock of the Issuer set forth in
this filing. Jérôme G. Pfund and
Michael L. Sjöström, together, hold majority of shares of Sectoral Asset
Management, Inc. Sectoral Asset
Management, Inc. and Messrs. Pfund and Sjöström disclaim beneficial ownership
of the Issuers common stock held by Sectoral Asset Management, Inc.
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(a)
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Amount beneficially
owned:
Sectoral Asset Management,
Inc.: 3,617,249 shares
Jérôme G. Pfund: 3,617,249 shares
Michael L. Sjöström: 3,617,249 shares
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(b)
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Percent of class:
Sectoral Asset Management,
Inc.: 8.7%
Jérôme G. Pfund: 8.7%
Michael L. Sjöström: 8.7%
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(c)
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Number of shares as to
which the person has:
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(i)
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Sole power to vote or to
direct the vote:
Sectoral Asset Management,
Inc.: 2,906,325 shares
Jérôme G. Pfund: 2,906,325 shares
Michael L. Sjöström: 2,906,325 shares
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(ii)
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Shared power to vote or to
direct the vote:
Sectoral Asset Management,
Inc.: -0- shares
Jérôme G. Pfund: -0- shares
Michael L. Sjöström: -0- shares
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(iii)
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Sole power to dispose or
to direct the disposition of:
Sectoral Asset Management,
Inc.: 3,617,249 shares
Jérôme G. Pfund: 3,617,249 shares
Michael L. Sjöström: 3,617,249 shares
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(iv)
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Shared power to dispose or
to direct the disposition of:
Not applicable.
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Item 5.
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Ownership of Five Percent or Less
of a Class.
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If this statement is being filed to report the fact
that as of the date hereof the reporting person has ceased to be the
beneficial owner of more than five percent of the class of securities, check
the following
o
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Item 6.
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Ownership of More than Five Percent
on Behalf of Another Person.
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Various persons, as investment advisory clients of
Sectoral Asset Management, Inc., have the right to receive or the power to
direct the receipt of dividends from, or the proceeds from the sale of, the
common stock of the Issuer. To the
knowledge of Sectoral Asset Management, Inc., no one such persons interest
in the common stock of the Issuer is more than five percent of the total
outstanding common stock of the Issuer other than Pictet Funds-BIOTECH, a
Luxemburg investment company that beneficially owns 7.0% of the common stock
of the Issuer.
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Item 7.
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Identification and Classification
of the Subsidiary Which Acquired the Security Being Reported on By the Parent
Holding Company or Control Person.
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Not applicable.
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Item 8.
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Identification and Classification
of Members of the Group.
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Not applicable.
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Item 9.
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Notice of Dissolution of Group.
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Not applicable.
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6
Item 10.
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Certification.
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By signing below the undersigned each certifies
that, to the best knowledge and belief of the undersigned, the securities
referred to above were acquired and are held in the ordinary course of
business and were not acquired and are not held for the purpose of or with
the effect of changing or influencing the control of the issuer of the
securities and were not acquired and are not held in connection with or as a
participant in any transaction having that purpose or effect.
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SIGNATURE
After
reasonable inquiry and to the best knowledge and belief of each of the
undersigned, the undersigned certify that the information set forth in this
statement is true, complete and correct.
Dated:
February 5, 2010
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SECTORAL
ASSET MANAGEMENT, INC.
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/s/Jérôme
G. Pfund
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By:
Jérôme G. Pfund
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Its:
CEO
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Dated:
February 5, 2010
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/s/Jérôme
G. Pfund
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Jérôme
G. Pfund
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Dated:
February 5, 2010
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/s/Michael
L. Sjöström
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Michael
L. Sjöström
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7
Exhibit A
AGREEMENT
Each of the undersigned,
pursuant to Rule 13d-1(k)(l) under the Securities Exchange Act of 1934, as
amended, hereby agrees that only one statement containing the information
required by Schedule 13G needs be filed with respect to the ownership by each
of the undersigned of the shares of common stock of Luminex Corporation, and
that the Schedule 13G
to which this Agreement is appended as
Exhibit A
is to be filed with the Securities and Exchange Commission on behalf of each of
the undersigned on or about the date hereof.
EXECUTED as a sealed
instrument this 5
th
day of February 2010.
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SECTORAL
ASSET MANAGEMENT, INC.
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/s/Jérôme
G. Pfund
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By:
Jérôme G. Pfund
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Its:
CEO
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/s/Jérôme
G. Pfund
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Jérôme
G. Pfund
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/s/Michael
L. Sjöström
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Michael L. Sjöström
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8
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