Heng Jun Hong's Form 4/A amendment
AmendedLuminar Technologies, Inc. (LAZRQ) · filed Mar 15, 2022
- Accession no.
- 0000929638-22-000606
- Filed
- Mar 15, 2022
- Trade date
- Mar 10, 2022
- Filing delay
- 5 days
- Rule 10b5-1 plan
- Not on the form (before 2023)
- Original filed
- Mar 11, 2022
This filing lists 13 non-derivative transactions. It carries over 21 transactions from the original filing that it did not restate. Open-market sales total $3.32M. It was filed 5 days after the trade.
This filing was later replaced by the amendment 0000929638-22-000608 (Mar 15, 2022). Trade tables on this site use the amended version.
This amendment restates part of 0000929638-22-000602 (filed Mar 11, 2022). The transactions it did not restate still count and are listed below.
Reporting owners
A Form 4 can have several reporting owners, such as a person and a fund they control. Trade tables show the first one.
| Owner | Relationship to the company |
|---|---|
| Heng Jun HongCIK 0001842577 | Director |
Non-derivative securities (Table I)
Acquisitions and disposals of common stock and similar shares, one row per line on the filing.
| Trade date | Security | Transaction | Shares | Price | Value | Shares after | Ownership | Flags |
|---|---|---|---|---|---|---|---|---|
| Mar 10, 2022 | Class A common stock | JOtherAcquired | +20,317 | $0.00 | $0 | 20,317 | Indirect | |
| Mar 10, 2022 | Class A common stock | JOtherDisposed | −18,971 | $0.00 | $0 | 1,346 | Indirect | |
| Mar 10, 2022 | Class A common stock | JOtherDisposed | −1,346 | $0.00 | $0 | 0 | Indirect | |
| Mar 10, 2022 | Class A common stock | JOtherAcquired | +14,614 | $0.00 | $0 | 14,614 | Indirect | |
| Mar 10, 2022 | Class A common stock | JOtherDisposed | −6,584 | $0.00 | $0 | 8,030 | Indirect | |
| Mar 10, 2022 | Class A common stock | JOtherDisposed | −8,030 | $0.00 | $0 | 0 | Indirect | |
| Mar 10, 2022 | Class A common stock | JOtherAcquired | +737 | $0.00 | $0 | 737 | Indirect | |
| Mar 10, 2022 | Class A common stock | JOtherDisposed | −664 | $0.00 | $0 | 73 | Indirect | |
| Mar 10, 2022 | Class A common stock | JOtherDisposed | −73 | $0.00 | $0 | 0 | Indirect | |
| Mar 10, 2022 | Class A common stock | JOtherAcquired | +1,036 | $0.00 | $0 | 1,036 | Indirect | |
| Mar 10, 2022 | Class A common stock | JOtherDisposed | −700 | $0.00 | $0 | 336 | Indirect | |
| Mar 10, 2022 | Class A common stock | JOtherDisposed | −336 | $0.00 | $0 | 0 | Indirect | |
| Mar 10, 2022 | Class A common stock | JOtherAcquired | +26,919 | $0.00 | $0 | 358,821 | Indirect |
Carried over from the original filing
This amendment restates only part of the original filing. The original's other transactions still stand, and the trade tables on Livermore count them under this amendment.
From 0000929638-22-000602 (filed Mar 11, 2022).
Non-derivative securities (Table I)
| Trade date | Security | Transaction | Shares | Price | Value | Shares after | Ownership | Flags |
|---|---|---|---|---|---|---|---|---|
| Mar 9, 2022 | Class A common stock | SSaleDisposed | −35,933 | $13.50F1 | −$485,095.5 | 1,568,022 | Indirect | |
| Mar 9, 2022 | Class A common stock | JOtherAcquired | +32,598 | $0.00 | $0 | 74,010 | Indirect | |
| Mar 9, 2022 | Class A common stock | JOtherDisposed | −13,458 | $0.00 | $0 | 60,552 | Indirect | |
| Mar 9, 2022 | Class A common stock | SSaleDisposed | −25,510 | $13.23 | −$337,497.3 | 35,042 | Indirect | |
| Mar 10, 2022 | Class A common stock | SSaleDisposed | −25,576 | $13.20 | −$337,603.2 | 0 | Indirect | |
| Mar 9, 2022 | Class A common stock | JOtherAcquired | +19,056 | $0.00 | $0 | 36,074 | Indirect | |
| Mar 9, 2022 | Class A common stock | SSaleDisposed | −12,409 | $13.23 | −$164,171.07 | 23,665 | Indirect | |
| Mar 10, 2022 | Class A common stock | SSaleDisposed | −12,442 | $13.20 | −$164,234.4 | 0 | Indirect | |
| Mar 9, 2022 | Class A common stock | JOtherDisposed | −32,598 | $0.00 | $0 | 110,825 | Indirect | |
| Mar 9, 2022 | Class A common stock | SSaleDisposed | −47,920 | $13.23 | −$633,981.6 | 62,905 | Indirect | |
| Mar 10, 2022 | Class A common stock | SSaleDisposed | −48,037 | $13.20 | −$634,088.4 | 0 | Indirect | |
| Mar 9, 2022 | Class A common stock | JOtherAcquired | +31,611 | $0.00 | $0 | 885,606 | Indirect | |
| Mar 9, 2022 | Class A common stock | JOtherAcquired | +35,577 | $0.00 | $0 | 711,012 | Indirect | |
| Mar 9, 2022 | Class A common stock | JOtherDisposed | −7,107 | $0.00 | $0 | 703,905 | Indirect | |
| Mar 9, 2022 | Class A common stock | JOtherDisposed | −37,209 | $0.00 | $0 | 2,921 | Indirect | |
| Mar 9, 2022 | Class A common stock | JOtherAcquired | +7,107 | $0.00 | $0 | 10,028 | Indirect | |
| Mar 9, 2022 | Class A common stock | SSaleDisposed | −4,308 | $13.23 | −$56,994.84 | 5,720 | Indirect | |
| Mar 10, 2022 | Class A common stock | SSaleDisposed | −4,319 | $13.20 | −$57,010.8 | 0 | Indirect | |
| Mar 9, 2022 | Class A common stock | SSaleDisposed | −16,853 | $13.23 | −$222,965.19 | 17,933 | Indirect | |
| Mar 10, 2022 | Class A common stock | SSaleDisposed | −16,897 | $13.20 | −$223,040.4 | 1,036 | Indirect | |
| Mar 9, 2022 | Class A common stock | JOtherDisposed | −35,577 | $0.00 | $0 | 227,128 | Indirect |
Footnotes on the original
The footnotes that the prices of these transactions refer to on the original filing.
- F1
The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $13.50 to $13.54, inclusive. The reporting person undertakes to provide to Luminar Technologies, Inc., any security holder of Luminar Technologies, Inc., 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 ranges set forth in this footnote.
Referenced by the price of 1 transaction in Table I.
Footnotes and remarks
Livermore keeps the footnotes that transaction prices refer to, all footnotes of amendments (Form 4/A) and the filing's remarks. Other footnotes, such as how indirect holdings are held or the details of a trading plan, are only in the original on SEC EDGAR.
- F1
On March 11, 2022, the reporting person filed a Form 4 (the "Prior Report"). In the Prior Report, footnotes 8, 10, 14, 16 and 19 state that the relevant entity distributed the applicable number of shares to its general partner for no consideration. Footnote 5 of the Prior Report states that the relevant general partner distributed the applicable number of shares to the Heng Zhao JT Revocable Trust for no consideration.
- F2
The Prior Report inadvertently did not name or include the holdings of the relevant general partner in Table I after the distributions described in the Prior Report. This amendment is being filed to report such name and holdings. The reporting person is the managing member of each of Crescent Cove Capital GP II LLC, Crescent Cove Capital GP, LLC, Crescent Cove Opportunity GP, LP, and Crescent Cove SPV GP, LLC and therefore may be deemed to hold voting and dispositive power over the shares held by such entities.
- F3
On March 10, 2022, Crescent Cove Capital GP, LLC received the following shares in a distribution from the following entities for no consideration: (i) 8,718 shares from Crescent Cove Luminar SPV, LLC; (ii) 10,887 shares from Crescent Cove Capital LP; and (iii) 712 shares from CC Holdings IX Co-Invest Fund, LP. On March 10, 2022, Crescent Cove Capital GP, LLC distributed 18,971 shares to the Heng Zhao JT Revocable Trust for no consideration. On March 10, 2022, Crescent Cove Capital GP, LLC distributed the remaining shares to its general partners who are unrelated to the reporting person for no consideration.
- F4
On March 10, 2022, Crescent Cove Capital GP II LLC received 14,614 shares in a distribution from CC Holdings IV LLC for no consideration. On March 10, 2022, Crescent Cove Capital GP II LLC distributed 6,584 shares to the Heng Zhao JT Revocable Trust for no consideration. On March 10, 2022, Crescent Cove Capital GP II LLC distributed the remaining shares to its general partners who are unrelated to the reporting person for no consideration.
- F5
On March 10, 2022, Crescent Cove Opportunity GP, LP received 737 shares in a distribution from CC Holdings I LLC for no consideration. On March 10, 2022, Crescent Cove Opportunity GP, LP distributed 664 shares to the Heng Zhao JT Revocable Trust for no consideration. On March 10, 2022, Crescent Cove Opportunity GP, LP distributed the remaining shares to its general partners who are unrelated to the reporting person for no consideration.
- F6
On March 10, 2022, Crescent Cove SPV GP, LLC received 1,036 shares in a distribution from Crescent Cove LTI SPV for no consideration. On March 10, 2022, Crescent Cove SPV GP, LLC distributed 700 shares to the Heng Zhao JT Revocable Trust for no consideration. On March 10, 2022, Crescent Cove SPV GP, LLC distributed the remaining shares to its general partners who are unrelated to the reporting person for no consideration.
- F7
The Prior Report inadvertently indicated the number of shares acquired by the Heng Zhao JT Revocable Trust as 28,110 shares but the correct number of shares acquired was 26,919scent Cove SPV GP, LLC distributed 700 shares to the Heng Zhao JT Revocable Trust for no consideration. On March 10, 2022, Crescent Cove SPV GP, L shares. Table I has been amended to reflect the correct number and footnote (5) of the Prior Report is amended to read as follows: "(5) On March 10, 2022, Heng Zhao JT Revocable Trust received the following shares from the following entities in distributions from such entities for no consideration: 6,584 shares from the general partner of CC Holdings IV LLC; 7,855 shares from the general partner of Crescent Cove Luminar SPV, LLC; 664 shares from the general partner of CC Holdings I LLC; 10,474 shares from the general partner of Crescent Cove Capital LP; 642 shares from CC Holdings IX Co-Invest Fund, LP; 700 shares from the general partner of Crescent Cove LTI-SPV, LP.