FORM 3 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 INITIAL STATEMENT OF BENEFICIAL OWNERSHIP OF SECURITIESFiled 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*
(Street)
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2. Date of Event Requiring Statement
(Month/Day/Year) 06/09/2021 |
3. Issuer Name and Ticker or Trading Symbol
Luminar Technologies, Inc./DE [ LAZR ] |
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4. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
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5. If Amendment, Date of Original Filed
(Month/Day/Year) 06/14/2021 |
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6. Individual or Joint/Group Filing (Check Applicable Line)
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1. Title of Security (Instr. 4) | 2. Amount of Securities Beneficially Owned (Instr. 4) | 3. Ownership Form: Direct (D) or Indirect (I) (Instr. 5) | 4. Nature of Indirect Beneficial Ownership (Instr. 5) |
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Class A Common Stock | 5,141 | I | By CC Holdings IV, LLC(1) |
Class A Common Stock | 842,366 | I | By Crescent Cove Capital II, LP(1) |
Class A Common Stock | 656,713 | I | By Crescent Cove Opportunity Fund LP(1) |
Class A Common Stock | 257,538 | I | By Crescent Cove Opportunity Fund B LP(1) |
Class A Common Stock | 1,000 | I | By Crescent Cove Luminar SPV LLC(1) |
Class A Common Stock | 568,800 | I | By Crescent Cove Capital I LP(1) |
Class A Common Stock | 314,625 | I | By Heng Zhao JT Revocable Trust(2) |
Class A Common Stock | 18,559 | D |
1. Title of Derivative Security (Instr. 4) | 2. Date Exercisable and Expiration Date (Month/Day/Year) | 3. Title and Amount of Securities Underlying Derivative Security (Instr. 4) | 4. Conversion or Exercise Price of Derivative Security | 5. Ownership Form: Direct (D) or Indirect (I) (Instr. 5) | 6. Nature of Indirect Beneficial Ownership (Instr. 5) | ||
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Date Exercisable | Expiration Date | Title | Amount or Number of Shares |
Explanation of Responses: |
1. Crescent Cove Capital GP, LLC, Crescent Cove Capital II GP, LLC, and Crescent Cove Opportunity GP, LP (collectively "General Partner") are the general partner of the Crescent Cove entities. Crescent Cove Capital Management, LLC and Crescent Cove Advisors, LP (collectively "Investment Manager") are the investment manager of the Crescent Cove entities. Mr. Heng is the managing member of General Partner and Investment Manager, and therefore, may be deemed to hold voting and dispositive power over the shares held by the Crescent Cove entities. |
2. Mr. Heng is co-trustee of the Heng Zhao JT Revocable Trust. |
Remarks: |
/s/ Alan Prescott, as Attorney-in-Fact | 07/06/2021 | |
** Signature of Reporting Person | Date |
Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly.
* If the form is filed by more than one reporting person, see Instruction 5 (b)(v).
** Intentional misstatements or omissions of facts constitute Federal Criminal Violations See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a).
Note: File three copies of this Form, one of which must be manually signed. If space is insufficient, see Instruction 6 for procedure.
Persons who respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB Number.