Statement of Changes in Beneficial Ownership (4)
08 Maio 2015 - 5:12PM
Edgar (US Regulatory)
FORM 4
[ ]
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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UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OF SECURITIES
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OMB APPROVAL
OMB Number:
3235-0287
Estimated average burden
hours per response...
0.5
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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
*
Pastor Donald
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2. Issuer Name
and
Ticker or Trading Symbol
LUNA INNOVATIONS INC
[
LUNA
]
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5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
__
X
__ Director
_____ 10% Owner
_____ Officer (give title below)
_____ Other (specify below)
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(Last)
(First)
(Middle)
301 1ST STREET, SW, SUITE 200
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3. Date of Earliest Transaction
(MM/DD/YYYY)
5/8/2015
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(Street)
ROANOKE, VA 24011
(City)
(State)
(Zip)
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4. If Amendment, Date Original Filed
(MM/DD/YYYY)
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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)
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2. Trans. Date
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2A. Deemed Execution Date, if any
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3. Trans. Code
(Instr. 8)
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4. Securities Acquired (A) or Disposed of (D)
(Instr. 3, 4 and 5)
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5. Amount of Securities Beneficially Owned Following Reported Transaction(s)
(Instr. 3 and 4)
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6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4)
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7. Nature of Indirect Beneficial Ownership (Instr. 4)
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Code
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V
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Amount
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(A) or (D)
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Price
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Common Stock
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5/8/2015
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J
(1)
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52848
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A
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$0
(1)
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52848
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D
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Table II - Derivative Securities Beneficially Owned (
e.g.
, puts, calls, warrants, options, convertible securities)
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1. Title of Derivate Security
(Instr. 3)
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2. Conversion or Exercise Price of Derivative Security
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3. Trans. Date
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3A. Deemed Execution Date, if any
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4. Trans. Code
(Instr. 8)
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5. Number of Derivative Securities Acquired (A) or Disposed of (D)
(Instr. 3, 4 and 5)
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6. Date Exercisable and Expiration Date
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7. Title and Amount of Securities Underlying Derivative Security
(Instr. 3 and 4)
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8. Price of Derivative Security
(Instr. 5)
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9. Number of derivative Securities Beneficially Owned Following Reported Transaction(s) (Instr. 4)
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10. Ownership Form of Derivative Security: Direct (D) or Indirect (I) (Instr. 4)
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11. Nature of Indirect Beneficial Ownership (Instr. 4)
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Code
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V
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(A)
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(D)
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Date Exercisable
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Expiration Date
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Title
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Amount or Number of Shares
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Common Stock Option (Right to Buy)
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$9.03
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5/8/2015
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J
(2)
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31782
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(2)
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7/5/2015
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Common Stock
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31782.0
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$0
(2)
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31782
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D
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Common Stock Option (Right to Buy)
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$1.95
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5/8/2015
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J
(3)
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5340
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(3)
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8/31/2022
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Common Stock
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5340.0
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$0
(3)
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5340
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D
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Explanation of Responses:
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(
1)
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The reporting person held 166,283 shares of Class A common stock of Advanced Photonix, Inc. ("API"). Pursuant to the transactions contemplated by that certain Agreement and Plan of Merger and Reorganization (the "Merger Agreement"), dated as of January 30, 2015, by and among the issuer, API and API Merger Sub, Inc. (the "Merger"), each issued and outstanding share of API Class A common stock was converted into 0.31782 shares of common stock (rounded down) of the issuer. The closing of the Merger occurred on May 8, 2015.
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(
2)
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On July 5, 2005, the reporting person was granted an option to purchase 100,000 shares of API's Class A common stock under API's 2000 Stock Option Plan at an exercise price of $2.87 per share. Pursuant to the Merger Agreement, this option was converted into an option to purchase 31,782 shares of the issuer's common stock at an exercise price of $9.03 per share. This option is fully vested and exercisable.
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(
3)
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On September 1, 2012, the reporting person was granted an option to purchase 16,805 shares of API's Class A common stock under API's 2007 Equity Incentive Plan at an exercise price of $0.62 per share. Pursuant to the Merger Agreement, this option was converted into an option to purchase 5,340 shares of the issuer's common stock at an exercise price of $1.95 per share. This option is fully vested and exercisable.
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Reporting Owners
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Reporting Owner Name / Address
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Relationships
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Director
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10% Owner
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Officer
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Other
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Pastor Donald
301 1ST STREET, SW, SUITE 200
ROANOKE, VA 24011
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X
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Signatures
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/s/ Donald Pastor
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5/8/2015
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**
Signature of Reporting Person
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Date
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Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly.
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*
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If the form is filed by more than one reporting person,
see
Instruction 4(b)(v).
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**
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Intentional misstatements or omissions of facts constitute Federal Criminal Violations.
See
18 U.S.C. 1001 and 15 U.S.C. 78ff(a).
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Note:
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File three copies of this Form, one of which must be manually signed. If space is insufficient,
see
Instruction 6 for procedure.
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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 control number.
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