SEC Form 4 · accession 0001239819-18-000077
LUNA INNOVATIONS INC · LUNA
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Richard Roedel
Director
Period of report
Dec 21, 2018
Accepted (ET)
Dec 21, 2018 · 9:06 am EST
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 | Dec 21, 2018 | M | 20,000 | $0.00 | A | 24,524 | I | By spouse |
| Common Stock | holding | — | — | — | 117,573 | I | By Profit Sharing Plan | |
| Common Stock | holding | — | — | — | 75,945 | 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)F1,F2 | $2.11 | Dec 21, 2018 | M | 20,000 | D | — | Dec 23, 2018 | Common Stock | 20,000 | 0 | I |
Explanation of responses
- F1Fully vested and exercisable.
- F2The reporting person transferred this option to his wife as a gift on June 15, 2018.