SEC Form 4 · accession 0001239819-15-000041
LUNA INNOVATIONS INC · LUNA
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Donald Pastor
Director
Period of report
May 8, 2015
Accepted (ET)
May 8, 2015 · 4:10 pm EDT
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001239819
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common StockF1 | May 8, 2015 | J | 52,848 | $0.00 | A | 52,848 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Common Stock Option (Right to Buy)F2 | $9.03 | May 8, 2015 | J | 31,782 | A | — | Jul 5, 2015 | Common Stock | 31,782 | 31,782 | D |
| Common Stock Option (Right to Buy)F3 | $1.95 | May 8, 2015 | J | 5,340 | A | — | Aug 31, 2022 | Common Stock | 5,340 | 5,340 | D |
Explanation of responses
- F1The 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.
- F2On 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.
- F3On 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.