SEC Form 4 · accession 0001239819-18-000036
LUNA INNOVATIONS INC · LUNA
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
A later amendment supersedes this filing — read the amendment. The figures below are kept as originally reported (version chain, not an overwrite).
Reporting owner
Donald Pastor
Director
Period of report
May 15, 2018
Accepted (ET)
May 17, 2018 · 8:13 pm EDT
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001239819
Table I — non-derivative securities
No Table I lines on this filing.
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Stock UnitsF2,F1,F3 | — | May 15, 2018 | A | 8,143 | A | — | — | Common Stock | 8,143 | 8,143 | D |
Explanation of responses
- F1Stock Units are convertible into issuer's common stock on a 1-for-1 basis.
- F2This grant was awarded in connection with Mr. Pastor's service as a member of the board of directors, pursuant to the issuer's non-employee director compensation policy. The number of stock units awarded is equal to $25,000 divided by $3.07, the closing price of the issuer's stock on Nasdaq Capital Market on May 15, 2018, the date of grant.
- F3The stock units vest upon the earlier of the one year anniversary of the grant date or the issuer's annual meeting of stockholders and, subject to vesting, will become issuable in common stock of the issuer at the election of the Reporting Person upon the earliest to occur of the Reporting Person's termination of service, a change in control of the issuer, an unforeseeable emergency, or a fixed date selected by the Reporting Person. The units have no expiration date.