Luminar Technologies, Inc./DE Forms 3, 4 and 5: Other
Statements of beneficial ownership filed with the SEC by officers, directors and 10% owners: 27 rows, 27 shown. Transaction codes are the SEC's. Shares and prices are split-adjusted; the as-filed figure is underneath.
- 2024-12-23: Reporting owner Russell Austin; Form 4; Security Class B Common Stock; Transaction C Conversion of derivative security.
- 2021-12-21: Reporting owner Russell Austin; Form 5; Security Class B Common Stock; Transaction G Bona fide gift.
- 2021-08-11: Reporting owner Russell Austin; Form 4; Security Class B Common Stock; Transaction A Grant, award or other acquisition pursuant to Rule 16b-3(d).
- 2021-07-01: Reporting owner Russell Austin; Form 4; Security Class B Common Stock; Transaction C Conversion of derivative security.
| Transaction date | Reporting owner | Form | Security | Transaction | Shares | Price | Price that day | Filing |
|---|---|---|---|---|---|---|---|---|
| 2024-12-23 | Russell Austin Director, Officer (Chairperson, President & CEO), 10% Owner | 4 | Class B Common Stock Derivative · Direct | C Conversion of derivative security | −1,600,000 4,872,578 owned after | no price filed | 2024-12-26 | |
| 2021-12-21 | Russell Austin Director, Officer (Chairperson, President & CEO), 10% Owner | 5 | Class B Common Stock Derivative · Direct | G Bona fide gift | −4,500,000 97,088,670 owned after | $0.00 | 2022-02-14 | |
| 2021-08-11 | Russell Austin Director, Officer (Chairperson, President & CEO), 10% Owner | 4 | Class B Common Stock Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +6,970,467 101,588,670 owned after | no price filed | 2021-08-13 | |
| 2021-07-01 | Russell Austin Director, Officer (Chairperson, President & CEO), 10% Owner | 4 | Class B Common Stock Derivative · Direct | C Conversion of derivative security | −10,500,000 94,618,203 owned after | no price filed | 2021-07-02 | |
| 2020-12-02 | AEG Holdings, LLC | Gores Alec E Director, Officer (Chief Executive Officer), 10% Owner | Director, Officer (Chief Executive Officer), 10% Owner | 4/A | Class F Common Stock Derivative · Indirect · See Footnotes | J Other acquisition or disposition (describe transaction) | +8,932,500 8,932,500 owned after | no price filed | 2020-12-09 | |
| 2020-12-02 | AEG Holdings, LLC | Gores Alec E Director, Officer (Chief Executive Officer), 10% Owner | Director, Officer (Chief Executive Officer), 10% Owner | 4/A | Class F Common Stock Derivative · Indirect · See Footnotes | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −8,932,500 0 owned after | no price filed | 2020-12-09 | |
| 2020-12-02 | Metropoulos C. Dean | HRM Holdings LLC Director, Officer (Chairman) | Director | 4/A | Class F Common Stock Derivative · Indirect · See Footnotes | J Other acquisition or disposition (describe transaction) | +992,500 992,500 owned after | no price filed | 2020-12-09 | |
| 2020-12-02 | Metropoulos C. Dean | HRM Holdings LLC Director, Officer (Chairman) | Director | 4/A | Class F Common Stock Derivative · Indirect · See Footnotes | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −992,500 0 owned after | no price filed | 2020-12-09 | |
| 2020-12-02 | Metropoulos C. Dean | HRM Holdings LLC Director, Officer (Chairman) | Director | 4 | Class F Common Stock Derivative · Indirect · See Footnotes | J Other acquisition or disposition (describe transaction) | +992,500 992,500 owned after | no price filed | 2020-12-04 | |
| 2020-12-02 | Metropoulos C. Dean | HRM Holdings LLC Director, Officer (Chairman) | Director | 4 | Class F Common Stock Derivative · Indirect · See Footnotes | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −992,500 0 owned after | no price filed | 2020-12-04 | |
| 2020-12-02 | Russell Austin Director, Officer (Chairperson, President & CEO), 10% Owner | 4 | Class B Common Stock Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +105,118,203 105,118,203 owned after | no price filed | 2020-12-04 | |
| 2020-12-02 | Bort Randy Director | 4 | Class F Common Stock, par value $0.0001 per share Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −25,000 0 owned after | $0.00 | 2020-12-04 | |
| 2020-12-02 | AEG Holdings, LLC | Gores Alec E Director, Officer (Chief Executive Officer), 10% Owner | Director, Officer (Chief Executive Officer), 10% Owner | 4 | Class F Common Stock Derivative · Indirect · See Footnote | J Other acquisition or disposition (describe transaction) | +8,932,500 8,932,500 owned after | no price filed | 2020-12-04 | |
| 2020-12-02 | AEG Holdings, LLC | Gores Alec E Director, Officer (Chief Executive Officer), 10% Owner | Director, Officer (Chief Executive Officer), 10% Owner | 4 | Class F Common Stock Derivative · Indirect · See Footnote | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −8,932,500 0 owned after | no price filed | 2020-12-04 | |
| 2020-12-02 | Gatto Joseph D Director | 4 | Class F Common Stock, par value $0.0001 per share Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −25,000 0 owned after | $0.00 | 2020-12-04 | |
| 2020-12-02 | Gores Metropoulos Sponsor LLC Director, 10% Owner | 4 | Class F Common Stock Derivative · Direct | J Other acquisition or disposition (describe transaction) | −9,925,000 0 owned after | no price filed | 2020-12-04 | |
| 2020-12-02 | Cramer Michael John Director | 4 | Class F Common Stock, par value $0.0001 per share Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −25,000 0 owned after | $0.00 | 2020-12-04 | |
| 2019-03-18 | HRM Holdings LLC | Metropoulos C. Dean Director, 10% Owner | Director, Officer (Chairman), 10% Owner | 4 | Class F Common Stock Derivative · Indirect · See Footnotes | D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e) | −390,625 4,962,500 owned after | no price filed | 2019-03-20 | |
| 2019-03-18 | AEG Holdings, LLC | Gores Alec E Director, Officer (Chief Executive Officer), 10% Owner | Director, Officer (Chief Executive Officer), 10% Owner | 4 | Class F Common Stock Derivative · Indirect · See Footnote | D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e) | −390,625 4,962,500 owned after | no price filed | 2019-03-20 | |
| 2019-03-18 | Gores Metropoulos Sponsor LLC Director, 10% Owner | 4 | Class F Common Stock Derivative · Direct | D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e) | −781,250 9,925,000 owned after | no price filed | 2019-03-20 | |
| 2019-01-31 holding as of filing | Gores Metropoulos Sponsor LLC Director, 10% Owner | 3 | Class F Common Stock, par value $0.0001 per share Derivative · Direct | Holding | no price filed | 2019-01-31 | ||
| 2019-01-31 holding as of filing | Metropoulos C. Dean | HRM Holdings LLC Director, Officer (Chairman), 10% Owner | Director, 10% Owner | 3 | Class F Common Stock, par value $0.0001 per share Derivative · Indirect · See Footnotes | Holding | no price filed | 2019-01-31 | ||
| 2019-01-31 holding as of filing | Gatto Joseph D Director | 3 | Class F Common Stock, par value $0.0001 per share Derivative · Direct | Holding | no price filed | 2019-01-31 | ||
| 2019-01-31 holding as of filing | Bort Randy Director | 3 | Class F Common Stock, par value $0.0001 per share Derivative · Direct | Holding | no price filed | 2019-01-31 | ||
| 2019-01-31 holding as of filing | Cramer Michael John Director | 3 | Class F Common Stock, par value $0.0001 per share Derivative · Direct | Holding | no price filed | 2019-01-31 | ||
| 2019-01-31 holding as of filing | McBride Andrew Officer (CFO & Secretary) | 3 | No securities are beneficially owned Non-derivative · Direct | Holding | 0 owned after | no price filed | 2019-01-31 | |
| 2019-01-31 holding as of filing | AEG Holdings, LLC | Gores Alec E Director, Officer (Chief Executive Officer), 10% Owner | Director, Officer (Chief Executive Officer), 10% Owner | 3 | Class F Common Stock, par value $0.0001 per share Derivative · Indirect · See Footnotes | Holding | no price filed | 2019-01-31 |