Statement of Changes in Beneficial Ownership (4)
17 April 2020 - 1:26AM
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
*
SHAMIR NACHUM |
2. Issuer Name and Ticker or Trading Symbol
LUMINEX CORP
[
LMNX
]
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5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
__X__ Director _____ 10% Owner
__X__ Officer (give title below) _____ Other (specify below)
President & CEO |
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(Last)
(First)
(Middle)
12212 TECHNOLOGY BLVD |
3. Date of Earliest Transaction
(MM/DD/YYYY)
4/14/2020 |
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(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 | 4/14/2020 | | M | | 45908 | A | $21.10 | 234932 | D | |
| Common Stock | 4/14/2020 | | S | | 45908 (1) | D | $30 | 189024 | D | |
| Common Stock | 4/15/2020 | | M | | 79092 | A | $21.10 | 268116 | D | |
| Common Stock | 4/15/2020 | | S | | 79092 (1) | D | $30 | 189024 | D | |
| Common Stock | 4/16/2020 | | M | | 125000 | A | $21.10 | 314024 | D | |
| Common Stock | 4/16/2020 | | S | | 125000 (1) | D | $31 | 189024 | 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) | $21.1 | 4/14/2020 | | M | | 45908 | | 10/14/2015 | 10/14/2021 | Common Stock | 45908.0 | $0 | 204092 | D | |
| Stock Option (Right To Buy) | $21.1 | 4/15/2020 | | M | | 79092 | | 10/14/2015 | 10/14/2021 | Common Stock | 79092.0 | $0 | 125000 | D | |
| Stock Option (Right To Buy) | $21.1 | 4/16/2020 | | M | | 125000 | | 10/14/2015 | 10/14/2021 | Common Stock | 125000.0 | $0 | 0 | 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 February 28, 2020 (the "Trading Plan"). The Trading Plan covered options that were otherwise set to expire in 2021. The representation regarding the seller's knowledge of material adverse non-public information speaks as of the date that the Trading Plan was adopted. |
Reporting Owners
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| Reporting Owner Name / Address | Relationships |
| Director | 10% Owner | Officer | Other |
SHAMIR NACHUM
12212 TECHNOLOGY BLVD
AUSTIN, TX 78727 | X |
| President & CEO |
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Signatures
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| /S/ HARRISS T.CURRIE, AS ATTORNEY-IN-FACT FOR NACHUM SHAMIR | | 4/16/2020 |
| **Signature of Reporting Person | Date |
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