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
  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, 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.
  2. 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.
  3. 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.
  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.
  5. The options vested in four installments on May 15, 2005, June 30, 2005, April 30, 2008 and May 31, 2008.