Statement of Changes in Beneficial Ownership (4)
04 Outubro 2021 - 7:11PM
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).
UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OF SECURITIES
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3235-0287
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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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Coe Pamela L |
2. Issuer Name and Ticker or Trading Symbol
LUNA INNOVATIONS INC
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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 |
3. Date of Earliest Transaction
(MM/DD/YYYY)
10/1/2021 |
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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) | 2. Conversion or Exercise Price of Derivative Security | 3. Trans. Date | 3A. Deemed Execution Date, if any | 4. Trans. Code
(Instr. 8) | 5. Number of Derivative Securities Acquired (A) or Disposed of (D)
(Instr. 3, 4 and 5) | 6. Date Exercisable and Expiration Date | 7. Title and Amount of Securities Underlying Derivative Security
(Instr. 3 and 4) | 8. Price of Derivative Security
(Instr. 5) | 9. Number of derivative Securities Beneficially Owned Following Reported Transaction(s) (Instr. 4) | 10. Ownership Form of Derivative Security: Direct (D) or Indirect (I) (Instr. 4) | 11. Nature of Indirect Beneficial Ownership (Instr. 4) |
| Code | V | (A) | (D) | Date Exercisable | Expiration Date | Title | Amount or Number of Shares |
| Stock Units | (1) | 10/1/2021 | | A | | 997.34 (2) | | (3) | (3) | Common Stock | 997.34 | $9.40 | 6000.09 | D | |
| Stock Units | (1) | 10/1/2021 | | A | | 106.38 (4) | | (3) | (3) | Common Stock | 106.38 | $9.40 | 6106.47 | D | |
| Stock Units | (1) | 10/1/2021 | | A | | 106.38 (5) | | (3) | (3) | Common Stock | 106.38 | $9.40 | 6212.85 | D | |
| Explanation of Responses: |
| (1) | Stock units are convertible into issuer's common stock on a 1-for-1 basis. |
| (2) | This grant was made pursuant to the issuer's non-employee director compensation policy, as compensation for Ms. Coe's service as a member of the board of directors for the period from October 1, 2021 to December 31, 2021. The number of restricted stock units is equal to $9,375.00 divided by $9.40, the closing price of the issuer's common stock on the Nasdaq Capital Market October 1, 2021, the first trading day of the quarter. The Reporting Person elected to receive fees in stock units. |
| (3) | 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. |
| (4) | This grant was made pursuant to issuer's non-employee director compensation policy, as compensation for Ms. Coe's service on the audit committee of the board of directors for the period from October 1, 2021 to December 31, 2021. The number of restricted stock units is equal to $1,000.00 divided by $9.40, the closing price of issuer's common stock on the Nasdaq Capital Market on October 1, 2021, the first trading day of the quarter. The Reporting Person elected to receive fees in stock units. |
| (5) | This grant was made pursuant to issuer's non-employee director compensation policy, as compensation for Ms. Coe's service on the nominating and governance committee of the board of directors for the period from October 1, 2021 to December 31, 2021. The number of restricted stock units is equal to $1,000.00 divided by $9.40, the closing price of issuer's common stock on the Nasdaq Capital Market on October 1, 2021, the first trading day of the quarter. The Reporting Person elected to receive fees in stock units. |
Reporting Owners
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| Reporting Owner Name / Address | Relationships |
| Director | 10% Owner | Officer | Other |
Coe Pamela L
301 1ST STREET, SW
SUITE 200
ROANOKE, VA 24011 | X |
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Signatures
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| /s/ Scott A. Graeff, Attorney-In-Fact | | 10/4/2021 |
| **Signature of Reporting Person | Date |
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