SEC Form 4 · accession 0001239819-16-000166
LUNA INNOVATIONS INC · LUNA
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Richard Roedel
Director
Period of report
Aug 12, 2016
Accepted (ET)
Aug 16, 2016 · 4:27 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 | Aug 12, 2016 | P | 40,000 | $1.25 | A | 79,200 | I | By Profit Sharing Plan |
| Common StockF2 | Aug 15, 2016 | P | 38,373 | $1.20 | A | 117,573 | I | By Profit Sharing Plan |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1The price in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $1.24 to 1.25, inclusive. The reporting person undertakes to provide the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in footnotes (1) and (2) to this Form 4.
- F2The price reported in Column 4 is weighted average price. These shares were sold in multiple transactions at prices ranging from $1.20 to $1.21, inclusive.