SEC Form 4 · accession 0001239819-18-000021
LUNA INNOVATIONS INC · LUNA
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Clinic Carilion
10% Owner
Period of report
Apr 12, 2018
Accepted (ET)
Apr 16, 2018 · 5:20 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 | Apr 12, 2018 | S | 59,980 | $3.43 | D | 2,060,338 | D | |
| Common StockF2 | Apr 13, 2018 | S | 18,065 | $3.24 | D | 2,042,273 | D | |
| Common Stock | Apr 13, 2018 | M | 43,212 | $2.32 | A | 2,085,485 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Common Stock Option (Right to Buy)F3 | $2.32 | Apr 13, 2018 | M | 43,212 | A | — | May 14, 2020 | Common Stock | 43,212 | 0 | D |
Explanation of responses
- F1Price reflected is a weighted-average sale price for shares sold. The range of sale prices for the transactions reported was $3.40 to $3.47 per share. The reporting person undertakes to provide upon request by the SEC staff, the issuer, or a security holder of the issuer, full information regarding the number of shares sold at each separate price.
- F2Price reflected is a weighted-average sale price for shares sold. The range of sale prices for the transactions reported was $3.20 to $3.40 per share. The reporting person undertakes to provide upon request by the SEC staff, the issuer, or a security holder of the issuer, full information regarding the number of shares sold at each separate price.
- F3Fully vested.