SEC Form 4 · accession 0001239819-15-000082
LUNA INNOVATIONS INC · LUNA
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Gary Spiegel
Director
Period of report
Jun 30, 2015
Accepted (ET)
Jul 2, 2015 · 8:01 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,F2,F3 | Jun 30, 2015 | A | 24,271 | $0.00 | A | 24,271 | D |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1Consists of restricted stock units that are convertible into issuer's common stock on a 1-for-1-basis.
- F2This grant was awarded in connection with Mr. Speigel's appointment to the issuer's board of director in connection with the merger between the issuer and Advanced Photonix, Inc. pursuant to the issuer's non-employee director compensation policy. The number of restricted stock units awarded is equal to $25,000 divided by $1.03, the closing price of the issuer's common stock on the NASDAQ Capital Market on June 30, 2015, the date of grant.
- F3The stock units will vest fully on the earlier of the one year anniversary of the grant date or the the next annual meeting.
Remarks
EXHIBIT LIST: EX-24 Power of Attorney- Speigel