Filing Details
- Accession Number:
- 0001033905-14-000078
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2014-05-05 09:24:04
- Reporting Period:
- 2014-05-01
- Filing Date:
- 2014-05-05
- Accepted Time:
- 2014-05-05 08:24:04
- SEC Url:
- Form 4 Filing
Issuer
| Cik | Name | Symbol | Sector (SIC) | IRS No |
|---|---|---|---|---|
| 1033905 | Luminex Corp | LMNX | Surgical & Medical Instruments & Apparatus (3841) | 742747608 |
Insiders
| Cik | Name | Reported Address | Insider Title | Director | Officer | Large Shareholder | Other |
|---|---|---|---|---|---|---|---|
| 1284839 | J Patrick Balthrop | 12212 Technology Boulevard Austin TX 78727 | President & Ceo | Yes | Yes | No | No |
Reported Non-Derivative Transactions
| Sec. Name | Acquisiton - Disposition | Date | Amount | Price | Remaning Holdings | Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|---|---|---|---|---|---|
| Common Stock | Acquisiton | 2014-05-01 | 34,885 | $10.10 | 538,827 | No | 4 | M | Direct | |
| Common Stock | Disposition | 2014-05-01 | 25,000 | $19.11 | 513,827 | No | 4 | S | Direct | |
| Common Stock | Acquisiton | 2014-05-02 | 41,110 | $10.10 | 554,937 | No | 4 | M | Direct | |
| Common Stock | Disposition | 2014-05-02 | 30,000 | $19.00 | 524,937 | No | 4 | S | Direct |
| Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|
| No | 4 | M | Direct | |
| No | 4 | S | Direct | |
| No | 4 | M | Direct | |
| No | 4 | S | Direct |
Reported Derivative Transactions
| Sec. Name | Sec. Type | Acquisiton - Disposition | Date | Amount | Price | Amount - 2 | Price - 2 |
|---|---|---|---|---|---|---|---|
| Common Stock | Stock Option (Right To Buy) | Disposition | 2014-05-01 | 34,885 | $10.10 | 34,885 | $10.10 |
| Common Stock | Stock Option (Right To Buy) | Disposition | 2014-05-02 | 41,110 | $10.10 | 41,110 | $10.10 |
| Remaning Holdings | Exercise Date | Expiration Date | Equity Swap Involved | Transaction Form Type | Transaction Code | Nature of Ownership |
|---|---|---|---|---|---|---|
| 165,115 | 2008-05-31 | 2014-05-15 | No | 4 | M | Direct |
| 124,005 | 2008-05-31 | 2014-05-15 | No | 4 | M | Direct |
Reported Non-Derivative Holdings
| Sec. Name | Remaning Holdings | Nature of Ownership | Explanation |
|---|---|---|---|
| Common Stock | 160,506 | Indirect | Trusts |
Footnotes
- This sale is being made pursuant to a trading plan intended to comply with Rule 10b5-1 adopted by the seller on February 28, 2012. 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.
- The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $19.01 to $19.32, inclusive. Mr. Balthrop 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 2 to this Form 4.
- The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $18.77 to $19.23, inclusive. Mr. Balthrop 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 3 to this Form 4.
- The 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.
- The options vested in four installments on May 15, 2005, June 30, 2005, April 30, 2008 and May 31, 2008.
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