SEC Form 4 · accession 0001239819-16-000143
LUNA INNOVATIONS INC · LUNA
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Donald Pastor
Director
Period of report
Jun 3, 2016
Accepted (ET)
Jun 7, 2016 · 4:07 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 3, 2016 | A | 21,739 | $0.00 | A | 98,858 | 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 as compensation for Mr. Pastor's service as a non-employee director pursuant to the issuer's non employee director compensation policy. The number of restricted stock units awarded is equal to $25,000 divided by $1.15, the closing price of the issuer's common stock on Nasdaq Capital Market on June 3, 2016, the date of grant.
- F3The stock units will vest fully on the earlier of the one year anniversary of the date of grant or the issuer's next annual meeting of stockholders.