[루미나] Form SC 13G/A - Deutsche Bank AG의 매입

1. What is SEC Form SC 13G A?

The Securities and Exchange Commission (SEC) Schedule 13G form is an alternative filing for the Schedule 13D form and is used to report a party's ownership of stock which exceeds 5% of a company's total stock issue. Schedule 13G is a shorter version of Schedule 13D with fewer reporting requirements

증권 거래위원회 (SEC) 13G 양식은 일정 13D 양식에 대한 대체 파일이며 회사 총 주식 발행량의 5%를 초과하는 주식 소유권을 보고하는데 사용됩니다. Schedule 13G는 보고 요구 사항이 적은 Schedule 13D의 짧은 버전입니다.

 

 

2. What does a 13D filing mean?

A Schedule 13D is a document that must be filed with the Securities and Exchange Commission (SEC) within 10 days of the purchase of more than 5% of the shares of a public company by anyone investor or entity. It is sometimes referred to as a beneficial ownership report

Schedule 13D는 투자자 또는 법인이 상장 기업 주식의 5% 이상을 매입 한 날로부터 10일 이내에 증권 거래위원회 (SEC)에 제출해야하는 문서입니다. 실 소유권 보고서라고도 합니다.

 

-이하 전문-

 

UNITED STATES

SECURITIES AND EXCHANGE COMMISSION

Washington, D.C. 20549

 

SCHEDULE 13G

 

Under the Securities Exchange Act of 1934

(Amendment No.1)

 

LUMINAR TECHNOLOGIES, INC.

(formerly GORES METROPOULOS, INC.)

 

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(NAME OF ISSUER)

 

 

Common Stock (Par Value $0.0001)

 

--------------------------------------------------------------------------------

 

(TITLE OF CLASS OF SECURITIES)

 

 

550424105

 

--------------------------------------------------------------------------------

 

(CUSIP NUMBER)

 

 

December 31, 2020

 

--------------------------------------------------------------------------------

 

(Date of Event Which Requires Filing of this Statement)

 

 

Check the appropriate box to designate the rule pursuant to which this Schedule is filed:

|x|  Rule 13d-1(b)

|_|    Rule 13d-1(c)

|_|    Rule 13d-1(d)

 

 

 

 

 

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1.     Names of Reporting Persons.

 

Deutsche Bank AG*

 

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2.     Check the Appropriate Box If a Member of a Group (See Instructions)

 

(a)   |_|

(b)   |_|

 

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3.     SEC Use Only

 

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4.      Citizenship or Place of Organization

 

 

Federal Republic of Germany

 

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	5.	SOLE VOTING POWER
		0
	-------------------------------------------------------------
	6.	SHARED VOTING POWER
NUMBER OF
SHARES		0
BENEFICIALLY	-------------------------------------------------------------
OWNED BY EACH	7.	SOLE DISPOSITIVE POWER
REPORTING
PERSON WITH		0
	-------------------------------------------------------------
	8.	SHARED DISPOSITIVE POWER

 

0

 

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9.     Aggregate Amount Beneficially Owned by Each Reporting Person

 

0

 

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10.   Check if the Aggregate Amount in Row (9) Excludes Certain Shares (See Instructions) |_|

 

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11.   Percent of Class Represented by Amount in Row (9)

 

0%

 

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12.   Type of Reporting Person

 

FI

 

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*  In accordance with Securities Exchange Act Release No. 39538 (January 12, 1998), this filing reflects the securities beneficially owned by the

 

Capital Release Unit and the Investment Banking business groups (collectively, "CRU/IB") of Deutsche Bank AG and its subsidiaries and affiliates (collectively, "DBAG"). This filing does not reflect securities, if any, beneficially owned by any other business group of DBAG. Consistent with Rule 13d-4 under the Securities Exchange Act of 1934 ("Act"), this filing shall not be construed as an admission that CRU/IB is, for purposes of Section 13(d) under the Act, the beneficial owner of any securities covered by the filing. Furthermore, CRU/IB disclaims beneficial ownership of the securities beneficially owned by (i) any client accounts with respect to which CRU/IB or its employees have voting or investment discretion, or both, and (ii) certain investment entities, of which CRU/IB is the general partner, managing general partner, or other manager, to the extent interests in such entities are held by persons other than CRU/IB.

 

 

Item 1.

 

(a)  Name of Issuer:

 

LUMINAR TECHNOLOGIES, INC.

 

(b)  Address of Issuer's Principal Executive Offices:

 

12601 Research Parkway

Orlando, FL 32826

United States

 

Item 2.

 

(a)  Name of Person Filing:

 

This statement is filed on behalf of Deutsche Bank AG ("Reporting Person").

 

(b)  Address of the Principal Office or, if none, residence:

 

Taunusanlage 12

 

60325 Frankfurt am Main Federal Republic of Germany

 

(c)  Citizenship:

 

The citizenship of the Reporting Person is set forth on the cover page.

 

(d)  Title of Class of Securities:

 

The title of the securities is common stock, $0.0001 par value ("Common Stock").

 

(e)  CUSIP Number:

 

The CUSIP number of the Common Stock is set forth on the cover page.

 

 

Item 3.    If this statement is filed pursuant to SS.240.13d-1(b) or 240.13d-2(b)

or (c), check whether the person filing is a:

 

 

(a)  |_| Broker or dealer registered under section 15 of the Act (15 U.S.C. 78o).

 

(b)  |_| Bank as defined in section 3(a)(6) of the Act (15 U.S.C. 78c).

 

 

(c)  |_| Insurance company as defined in section 3(a)(19) of the Act (15 U.S.C. 78c).

 

(d)  |_| Investment company registered under section 8 of the Investment Company Act of 1940 (15 U.S.C 80a-8).

 

(e)  |_| An investment adviser in accordance with S.240.13d-1(b)(1)(ii)(E);

 

 

(f)  |_| An employee benefit plan or endowment fund in accordance with S.240.13d-1(b)(1)(ii)(F);

 

(g)  |_| A parent holding company or control person in accordance with S. 240.13d-1(b)(1)(ii)(G);

 

(h)  |_| A savings associations as defined in Section 3(b) of the Federal Deposit Insurance Act (12 U.S.C. 1813);

 

(i)  |_| A church plan that is excluded from the definition of an investment

 

company under section 3(c)(14) of the Investment Company Act of 1940 (15 U.S.C. 80a-3);

 

(j)  |X| A non-U.S. institution in accordance with Group, in accordance with Rule 13d-1 (b)(1)(ii)(J).

 

Deutsche Bank AG

 

(k) |_| Group, in accordance with S.240.13d-1(b)(1)(ii)(J).

 

Item 4. Ownership.

 

(a)  Amount beneficially owned:

 

The Reporting Person owns the amount of the Common Stock as set forth on the cover page.

 

(b)  Percent of class:

 

The Reporting Person owns the percentage of the Common Stock as set forth on the cover page.

 

(c)  Number of shares as to which such person has:

 

(i)  Sole power to vote or to direct the vote

 

The Reporting Person has the sole power to vote or direct the vote of the Common Stock as set forth on the cover page.

 

(ii)  Shared power to vote or to direct the vote

 

The Reporting Person has the shared power to vote or direct the vote of the Common Stock as set forth on the cover page.

 

(iii)  Sole power to dispose or to direct the disposition of

 

The Reporting Person has the sole power to dispose or direct the disposition of the Common Stock as set forth on the cover page.

 

(iv)  Shared power to dispose or to direct the disposition of

 

The Reporting Person has the shared power to dispose or direct the disposition of the Common Stock as set forth on the cover page.

 

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 |X|.

 

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 or Control Person.

 

 

Subsidiary

 

 

 

Item 3 Classification

 

 

 

Deutsche Bank Securities Inc.

 

 

 

Broker Dealer

 

 

 

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 foreign regulatory scheme applicable to a bank organized under the laws of the Federal Republic of Germany is substantially comparable to the regulatory scheme applicable to the functionally equivalent U.S. institution. I also undertake to furnish to the Commission staff, upon request, information that would otherwise be disclosed in a Schedule 13D.

 

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.

 

 

Dated:           February 12, 2021

 

Deutsche Bank AG

 

 

By:

Name:

 

Title:

 

 

 

/s/ Michael Caro

Michael Caro

 

Assistant Vice President

 

원본 파일 첨부합니다. 

Form SC 13GA_20210216.rtf

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