SEC Form 4 · accession 0001239819-18-000062
LUNA INNOVATIONS INC · LUNA
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Clinic Carilion
10% Owner
Period of report
Jul 16, 2018
Accepted (ET)
Jul 18, 2018 · 4:43 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 | Jul 16, 2018 | S | 39,497 | $3.40 | D | 2,005,233 | D | |
| Common Stock | Jul 17, 2018 | X | 159,097 | $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)F2 | $2.50 | Jul 17, 2018 | X | 149,097 | D | — | Dec 31, 2020 | Common Stock | 149,097 | 0 | D |
| Warrant (right to buy)F2 | $2.50 | Jul 17, 2018 | X | 10,000 | D | — | Dec 31, 2020 | Common Stock | 10,000 | 0 | D |
Explanation of responses
- F1Price reflected is a weighted-average sale price for shares sold. The range of sales prices for the transactions reported was $3.40 to $3.42 per share, inclusive. The reporting person undertakes to provide upon request by the staff, the issuer, or a security holder of the issuer, full information regarding the number of shares sold at each price.
- F2Immediately exercisable.