SEC Form 4 · accession 0001239819-16-000140
LUNA INNOVATIONS INC · LUNA
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
My E. Chung
Officer — President & CEO · Director
Period of report
Jun 3, 2016
Accepted (ET)
Jun 7, 2016 · 4:06 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 | Jun 3, 2016 | A | 140,000 | $0.00 | A | 528,500 | D | |
| Common StockF2,F3 | Jun 6, 2016 | F | 35,000 | $1.14 | D | 493,500 | D |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1The issuer awarded this restricted stock award to Mr. Chung with respect to his service as President and Chief Executive Officer as an annual incentive. The restricted stock vest annually over a three year period, subject to Mr. Chung's continued service with the Company as of each vesting date.
- F2These shares were repurchased by the Issuer pursuant to the election of the holder to satisfy tax withholdings requirements with respect to the vesting of a restricted stock award.
- F3The price represents the closing sales price of the Issuer's common stock on the date of the election.