Statement of Changes in Beneficial Ownership (4)
03 Outubro 2019 - 6:00PM
Edgar (US Regulatory)
FORM 4
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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
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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
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WILLIAMSON JOHN B III |
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)
C/O LUNA INNOVATIONS INCORPORATED, 301 1ST STREET SW, SUITE 200 |
3. Date of Earliest Transaction
(MM/DD/YYYY)
10/1/2019
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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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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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Stock Units
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(1)
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10/1/2019
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A
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1644.74 (2)
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(3)
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(3)
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Common Stock
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1644.74
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$5.70
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185087.08
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D
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Stock Units
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(1)
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10/1/2019
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A
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175.44 (4)
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(3)
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(3)
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Common Stock
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175.44
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$5.70
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185262.52
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D
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Stock Units
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(1)
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10/1/2019
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A
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175.44 (5)
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(3)
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(3)
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Common Stock
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175.44
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$5.70
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185437.96
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D
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Explanation of Responses:
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(1)
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Stock units are convertible into issuer's common stock on a 1-for-1 basis.
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(2)
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This grant was made pursuant to the issuer's non-employee director compensation policy, as compensation for Mr. Williamson's service as a member of the board of directors for the period from October 1, 2019 to December 31, 2019. The number of restricted stock units is equal to $9,375.00 divided by $5.70, the closing price of the issuer's common stock on the Nasdaq Capital Market on October 1, 2019, the first trading day of the quarter. The Reporting Person elected to receive fees in stock units.
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(3)
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The stock units become issuable in common stock of the issuer at the election of the Reporting Person upon the earliest to occur of the Reporting Person's termination of service, a change in control of the issuer, an unforeseeable emergency, or a fixed date selected by the Reporting Person. The units have no expiration date.
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(4)
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This grant was made pursuant to the issuer's non-employee director compensation policy, as compensation for Mr. Williamson's service on the audit committee of the board of directors for the period from October 1, 2019 to December 31, 2019. The number of restricted stock units is equal to $1,000.00 divided by $5.70, the closing price of issuer's common stock on Nasdaq Capital Market on October 1, 2019, the first trading day of the quarter. The Reporting Person elected to receive fees in stock units.
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(5)
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This grant was made pursuant to issuer's non-employee director compensation policy, as compensation for Mr. Williamson's service on the nominating and governance committee of the board of directors for the period from October 1, 2019 to December 31, 2019. The number of restricted stock units is equal to $1,000.00 divided by $5.70, the closing price of issuer's common stock on the Nasdaq Capital Market on October 1, 2019, the first trading day of the quarter. The Reporting Person elected to receive fees in stock units.
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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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WILLIAMSON JOHN B III C/O LUNA INNOVATIONS INCORPORATED 301 1ST STREET SW, SUITE 200 ROANOKE, VA 24011
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X
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Signatures
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/s/ Scott A. Graeff, Attorney-In-Fact
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10/3/2019
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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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Luna Innovations (NASDAQ:LUNA)
Gráfico Histórico do Ativo
De Jun 2024 até Jul 2024
Luna Innovations (NASDAQ:LUNA)
Gráfico Histórico do Ativo
De Jul 2023 até Jul 2024
Form 8-K - Current report Segunda, 17 de Junho de 2024 (4 semanas atrás) • Edgar (US Regulatory) |
Form SD - Specialized disclosure report Quinta, 30 de Maio de 2024 (2 meses atrás) • Edgar (US Regulatory) |
The Gross Law Firm Notifies Luna Innovations Incorporated Investors of a Class Action Lawsuit and Upcoming Deadline - LUNA Quarta, 29 de Maio de 2024 (2 meses atrás) • PR Newswire (US) |
Luna Innovations Announces Receipt of Notice from Nasdaq Regarding Late Filing of Quarterly Report on Form 10-Q Terça, 21 de Maio de 2024 (2 meses atrás) • Business Wire |
Shareholders that lost money on Luna Innovations Incorporated (LUNA) Urged to Join Class Action - Contact The Gross Law Firm to Learn More Terça, 21 de Maio de 2024 (2 meses atrás) • PR Newswire (US) |
Class Action Filed Against Luna Innovations Incorporated (LUNA) Seeking Recovery for Investors - Contact The Gross Law Firm Terça, 14 de Maio de 2024 (2 meses atrás) • PR Newswire (US) |
Form 3 - Initial statement of beneficial ownership of securities Segunda, 13 de Maio de 2024 (2 meses atrás) • Edgar (US Regulatory) |
Form NT 10-Q - Notification of inability to timely file Form 10-Q or 10-QSB Segunda, 13 de Maio de 2024 (2 meses atrás) • Edgar (US Regulatory) |
Luna Innovations Incorporated Securities Fraud Class Action Lawsuit Pending: Contact The Gross Law Firm Before May 31, 2024 to Discuss Your Rights - LUNA Terça, 7 de Maio de 2024 (2 meses atrás) • PR Newswire (US) |
Luna Innovations Announces Inducement Grants Under NASDAQ Listing Rule 5635(C)(4) Sexta, 3 de Maio de 2024 (2 meses atrás) • Business Wire |
The Gross Law Firm Reminds Luna Innovations Investors of the Pending Class Action Lawsuit with a Lead Plaintiff Deadline of May 31, 2024 - LUNA Sexta, 3 de Maio de 2024 (2 meses atrás) • PR Newswire (US) |
Luna Innovations Appoints New Senior Leadership Across Sales and Product Marketing Quinta, 2 de Maio de 2024 (2 meses atrás) • Business Wire |
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