SEC Form 4 · accession 0001239819-16-000142
LUNA INNOVATIONS INC · LUNA
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Dale E Messick
Officer — Chief Financial Officer
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 | 34,500 | $0.00 | A | 180,471 | D | |
| Common StockF2,F3 | Jun 6, 2016 | F | 8,626 | $1.14 | D | 171,845 | D |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1The issuer awarded this restricted stock award to Mr. Messick with respect to his service as Chief Financial Officer as an annual incentive. The restricted stock vests annually over a three year period, subject to Mr. Messick'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.