SEC Form 4 · accession 0001239819-18-000035
LUNA INNOVATIONS INC · LUNA
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Clinic Carilion
10% Owner
Period of report
May 15, 2018
Accepted (ET)
May 17, 2018 · 5:05 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 Stock | May 15, 2018 | X | 88,886 | $2.50 | A | 2,164,330 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Warrant (right to buy)F1 | $2.50 | May 15, 2018 | M | 88,886 | D | — | Dec 31, 2020 | Common Stock | 88,886 | 149,097 | D |
Explanation of responses
- F1Immediately exercisable.