-----BEGIN PRIVACY-ENHANCED MESSAGE----- Proc-Type: 2001,MIC-CLEAR Originator-Name: webmaster@www.sec.gov Originator-Key-Asymmetric: MFgwCgYEVQgBAQICAf8DSgAwRwJAW2sNKK9AVtBzYZmr6aGjlWyK3XmZv3dTINen TWSM7vrzLADbmYQaionwg5sDW3P6oaM5D3tdezXMm7z1T+B+twIDAQAB MIC-Info: RSA-MD5,RSA, HBE4IU+AYSn2df/pCjAJdxpjMVi/KIgGjCGnjXB04K9+Fc2xb7b31rFbUVDG/EcP HbaMRw+4QEOtxuA2KJs19A== 0000950134-02-001204.txt : 20020414 0000950134-02-001204.hdr.sgml : 20020414 ACCESSION NUMBER: 0000950134-02-001204 CONFORMED SUBMISSION TYPE: SC 13G/A PUBLIC DOCUMENT COUNT: 1 FILED AS OF DATE: 20020213 SUBJECT COMPANY: COMPANY DATA: COMPANY CONFORMED NAME: LUMINEX CORP CENTRAL INDEX KEY: 0001033905 STANDARD INDUSTRIAL CLASSIFICATION: SERVICES-COMMERCIAL PHYSICAL & BIOLOGICAL RESEARCH [8731] IRS NUMBER: 742747608 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: SC 13G/A SEC ACT: 1934 Act SEC FILE NUMBER: 005-60917 FILM NUMBER: 02542667 BUSINESS ADDRESS: STREET 1: 12212 TECHNOLOGY BLVD STREET 2: 512-219-8020 CITY: AUSTIN STATE: TX ZIP: 78727 MAIL ADDRESS: STREET 1: 12212 TECHNOLOGY BLVD CITY: AUSTIN STATE: TX ZIP: 78727 FILED BY: COMPANY DATA: COMPANY CONFORMED NAME: LOEWENBAUM G WALTER II CENTRAL INDEX KEY: 0001039752 FILING VALUES: FORM TYPE: SC 13G/A BUSINESS ADDRESS: STREET 1: 111 CONGRESS STREET 2: STE 1600 CITY: AUSTIN STATE: TX ZIP: 78701 BUSINESS PHONE: 8009449518 MAIL ADDRESS: STREET 1: 111 CONGRESS STREET 2: STE 1600 CITY: AUSTIN STATE: TX ZIP: 78701 SC 13G/A 1 d94250a1sc13ga.txt AMENDMENT NO. 1 TO SCHEDULE 13G UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 ----------------- SCHEDULE 13G (Amendment No. 1) UNDER THE SECURITIES EXCHANGE ACT OF 1934 Information to be included in statements filed pursuant to Rules 13d-1(b), (c) and (d) and amendments thereto filed pursuant to Rule 13d-2(b) ---------------- LUMINEX CORPORATION (Name of Issuer) Common Stock (Title of Class of Securities) 55027E 10 2 (Cusip Number) December 31, 2001 (Date of Event Which Requires Filing of this Statement) ----------------- Check the appropriate box to designate the rule pursuant to which this Schedule is filed: [ ] Rule 13d-1(b) [ ] Rule 13d-1(c) [X] Rule 13d-1(d) The remainder of this cover page shall be filled out for a reporting person's 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). Page 1 of 5 Pages CUSIP No. 55027E 10 2 SCHEDULE 13G (cover page continued) 1. NAME OF REPORTING PERSON G. Walter Loewenbaum S.S. OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSON 2. CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP * (A) [ ] (B) [ ] 3. SEC USE ONLY 4. CITIZENSHIP OR PLACE OF ORGANIZATION United States 5. SOLE VOTING POWER 1,729,680(1) NUMBER OF SHARES 6. SHARED VOTING POWER BENEFICIALLY OWNED BY 470,607(2) EACH REPORTING PERSON 7. SOLE DISPOSITIVE POWER 1,729,680(1) 8. SHARED DISPOSITIVE POWER 470,607(2) 9. AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 2,200,287 10. CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES* [X] 1,301,600(3) 11. PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9) 7.6 % 12. TYPE OF REPORTING PERSON IN (1) 1,302,700 shares are held by Mr. Loewenbaum directly, 234,600 shares are held by the Trustee for Mr. Loewenbaum's pension plan, 45,500 shares are held in a trust of which Mr. Loewenbaum is the trustee and 146,880 are warrant shares held by a trust for the benefit of Mr. Loewenbaum's children. (2) 312,000 shares are held by a limited partnership for which Mr. And Mrs. Loewenbaum serve as general partners and certain of the limited partners, 2,000 shares are held in a trust of which Mr. Loewenbaum is a trustee, 1,000 shares are held by a limited partnership of which Mr. Loewenbaum has an indirect interest, 145,607 are warrant shares and 10,000 shares of Common Stock subject to vested and immediately exercisable stock options. (3) These shares are held by Mrs. Loewenbaum. Mr. Loewenbaum disclaims any beneficial ownership of these securities, and this report shall not be deemed an admission that the reporting person is the beneficial owner of such securities for this or any other purpose. Page 2 of 5 Pages SCHEDULE 13G ITEM 1(A). NAME OF ISSUER: Luminex Corporation ITEM 1(B). ADDRESS OF ISSUER'S PRINCIPAL EXECUTIVE OFFICES: 12212 Technology Blvd., Austin, Texas 78727 ITEM 2(A). NAME OF PERSON FILING: G. Walter Loewenbaum ITEM 2(B). ADDRESS OF PRINCIPAL BUSINESS OFFICE OR, IF NONE, RESIDENCE: 1708 Windsor, Austin, TX 78703 ITEM 2(C). CITIZENSHIP: United States (Texas) ITEM 2(D). TITLE OF CLASS OR SECURITIES: Common Stock, $0.001 par value ITEM 2(E). CUSIP NUMBER: 55027E 10 2 ITEM 3. IF THIS STATEMENT IS FILED PURSUANT TO RULE 13d-1(b) OR 13d-2(b), (A) [ ] BROKER OR DEALER REGISTERED UNDER THE ACT (B) [ ] BANK AS DEFINED IN SECTION 3(A)(6) OF THE ACT (C) [ ] INSURANCE COMPANY AS DEFINED IN SECTION 3(A)(19) OF THE ACT (D) [ ] INVESTMENT COMPANY REGISTERED UNDER SECTION 8 OF THE INVESTMENT COMPANY ACT (E) [ ] INVESTMENT ADVISER REGISTERED UNDER SECTION 203 OF THE INVESTMENT ADVISERS ACT OF 1940 (F) [ ] EMPLOYEE BENEFIT PLAN, PENSION FUND WHICH IS SUBJECT TO THE PROVISIONS OF THE EMPLOYEE RETIREMENT INCOME SECURITY ACT OF 1974 OR ENDOWMENT FUND; SEE SECTIONS 240.13d-(B)(1)(II)(F) (G) [ ] PARENT HOLDING COMPANY, IN ACCORDANCE WITH SECTIONS 240.13d-1(b)(II)(G); SEE ITEM 7 (H) [ ] GROUP, IN ACCORDANCE WITH SECTIONS 240.13d-1(b)(1)(II)(H) ITEM 4. OWNERSHIP: (A) AMOUNT BENEFICIALLY OWNED:2,200,287 shares of which 1,302,700 shares are held by Mr. Loewenbaum directly, 234,600 shares are held by the Trustee for Mr. Loewenbaum's pension plan, 45,500 shares are held in a trust of which Mr. Loewenbaum is the trustee and 146,880 are warrant shares held by a trust for the benefit of Mr. Loewenbaum's children, 312,000 shares are held by a limited partnership for which Mr. And Mrs. Loewenbaum serve as general partners and certain of the limited partners, 2,000 shares are held in a trust of which Mr. Loewenbaum is a trustee, 1,000 shares are held by a limited partnership of which Mr. Loewenbaum has an indirect interest, 145,607 are warrant shares and 10,000 shares of Common Stock subject to vested and immediately exercisable stock options. (B) PERCENT OF CLASS: 7.6% Page 3 of 5 Pages SCHEDULE 13G (C) NUMBER OF SHARES AS TO WHICH SUCH PERSON HAS: (I) SOLE POWER TO VOTE OR TO DIRECT THE VOTE: 1,729,680 (II) SHARED POWER TO VOTE OR TO DIRECT THE VOTE: 470,607 (III) SOLE POWER TO DISPOSE OR TO DIRECT THE DISPOSITION OF: 1,729,680 (IV) SHARED POWER TO DISPOSE OR TO DIRECT THE DISPOSITION OF: 470,607 ITEM 5. OWNERSHIP OF FIVE PERCENT OR LESS OF A CLASS. 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 [ ]. Not applicable. ITEM 6. OWNERSHIP OF MORE THAN FIVE PERCENT ON BEHALF OF ANOTHER PERSON. Not applicable. ITEM 7. IDENTIFICATION AND CLASSIFICATION OF THE SUBSIDIARY WHICH ACQUIRED THE SECURITY BEING REPORTED ON BY THE PARENT HOLDING COMPANY. Not applicable. ITEM 8. IDENTIFICATION AND CLASSIFICATION OF MEMBERS OF THE GROUP. Not applicable. ITEM 9. NOTICE OF DISSOLUTION OF GROUP. Not applicable. ITEM 10. CERTIFICATION. By signing below I certify that, to the best of my knowledge and belief, the securities referred to above 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. Page 4 of 5 Pages SCHEDULE 13G SIGNATURE After reasonable inquiry and to the best of my knowledge and belief, I certify that the information set forth in this statement is true, complete and correct. /s/ G. Walter Loewenbaum ------------------------------- G. Walter Loewenbaum Date: 12 February 2002 Page 5 of 5 Pages -----END PRIVACY-ENHANCED MESSAGE-----