Statement of Changes in Beneficial Ownership (4)
16 March 2021 - 7:52AM
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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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
*
CURRIE HARRISS T |
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)
_____ Director _____ 10% Owner __X__ Officer (give title below) _____ Other (specify below) SVP, Finance & CFO |
(Last)
(First)
(Middle)
12212 TECHNOLOGY BOULEVARD |
3. Date of Earliest Transaction
(MM/DD/YYYY)
3/11/2021 |
(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 | 3/11/2021 | | F | | 379 (1) | D | $32.45 | 226489 | D | |
Common Stock | 3/12/2021 | | F | | 1939 (2) | D | $32.76 | 224550 | D | |
Common Stock | 3/12/2021 | | A | | 18620 | A | $32.76 | 243170 | 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) | $23.09 | 3/12/2021 | | A | | 85950 (3) | | 3/12/2021 | 3/12/2027 | Common Stock | 85950.0 | $23.09 | 85950 | D | |
Explanation of Responses: |
(1) | This disposition relates to withholding for taxes on 1,559 vesting shares associated with a previously reported issuance. |
(2) | This disposition relates to withholding for taxes on 7,969 vesting shares associated with a previously reported issuance. |
(3) | The Board of Directors of Luminex Corporation determined the level of performance and number of shares earned for this performance option. The option will vest annually in four equal installments beginning 03/12/21. |
Reporting Owners
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Reporting Owner Name / Address | Relationships |
Director | 10% Owner | Officer | Other |
CURRIE HARRISS T 12212 TECHNOLOGY BOULEVARD AUSTIN, TX 78727 |
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| SVP, Finance & CFO |
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Signatures
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/S/ HARRISS T. CURRIE | | 3/15/2021 |
**Signature of Reporting Person | Date |
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