Annual Statement of Changes in Beneficial Ownership (5)
14 Fevereiro 2022 - 11:26AM
Edgar (US Regulatory)
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Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b).
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Form 3 Holdings Reported
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Form 4 Transactions Reported
UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
ANNUAL 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
*
Russell Austin | 2. Issuer Name and Ticker or Trading SymbolLuminar Technologies, Inc./DE [LAZR] |
5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
__X__ Director __X__ 10% Owner __X__ Officer (give title below) _____ Other (specify below) Chairperson, President & CEO |
(Last)
(First)
(Middle)
C/O LUMINAR TECHNOLOGIES, INC., 2603 DISCOVERY DRIVE, SUITE 100 | 3. Statement for Issuer's Fiscal Year Ended (MM/DD/YYYY) 12/31/2021 |
(Street)
ORLANDO, FL 32826
(City)
(State)
(Zip)
| 4. If Amendment, Date Original Filed(MM/DD/YYYY) | 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) | 2. Trans. Date | 2A. Deemed Execution Date, if any | 3. Trans. Code (Instr. 8) | 4. Securities Acquired (A) or Disposed of (D) (Instr. 3, 4 and 5) | 5. Amount of Securities Beneficially Owned Following Reported Transaction(s) (Instr. 3 and 4) | 6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4) | 7. Nature of Indirect Beneficial Ownership (Instr. 4) |
Amount | (A) or (D) | Price |
Table II - Derivative Securities Acquired, Disposed of, or 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 (MM/DD/YYYY) | 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 at End of Issuer's Fiscal Year (Instr. 4) | 10. Ownership Form of Derivative Security: Direct (D) or Indirect (I) (Instr. 4) | 11. Nature of Indirect Beneficial Ownership (Instr. 4) |
(A) | (D) | Date Exercisable | Expiration Date | Title | Amount or Number of Shares |
Class B Common Stock | | 12/21/2021 | | G | | 4500000 | (1) | (1) | Class A Common Stock | 4500000 | $0.00 | 97088670 | D | |
Explanation of Responses: |
(1) | This transaction was a gift for no consideration exempt from Section 16(b) under Rule 16b-5. As previously disclosed in the Reporting Person's Schedule 13D/A (Amendment No. 3) filed on December 27, 2021, effective December 21, 2021, the Reporting Person donated 4,500,000 shares of Class A Common Stock to Central Florida Foundation, Inc., an accredited 501(c)(3) community foundation and public charity (the "Foundation"). This disposition was a charitable donation to the Foundation. The Foundation has informed the Reporting Person that it does not anticipate immediate liquidation and expects the sale of shares will be over a multi-year period. Pursuant to the Issuer's Second Amended and Restated Certificate of Incorporation, the Class B shares automatically converted into Class A shares as a result of the gift. |
Reporting Owners
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Reporting Owner Name / Address | Relationships |
Director | 10% Owner | Officer | Other |
Russell Austin C/O LUMINAR TECHNOLOGIES, INC. 2603 DISCOVERY DRIVE, SUITE 100 ORLANDO, FL 32826 | X | X | Chairperson, President & CEO |
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Signatures
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/s/ Thomas Fennimore, as Attorney-in-Fact For Austin Russell | | 2/14/2022 |
**Signature of Reporting Person | Date |
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