SEC Form 4/A · accession 0001239819-18-000059
LUNA INNOVATIONS INC · LUNA
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
This is an amendment (Form 4/A). It replaces an earlier filing for the same period.
Reporting owner
Donald Pastor
Director
Period of report
May 15, 2018
Accepted (ET)
Jul 3, 2018 · 7:10 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 | May 15, 2018 | A | 8,143 | $0.00 | A | 130,434 | 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 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 will vest fully on the earlier of the one year anniversary of date or the next annual meeting of stockholders.
Remarks
This amended report is being filed to report the grant of restricted stock units in Table I, rather than Table II as originally reported, and to clarify that the delivery of shares upon vesting of the award has not been deferred pursuant to the Issuer's non-employee director deferred compensation plan.