SEC Form 4 · accession 0001239819-19-000020
LUNA INNOVATIONS INC · LUNA
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Dale E Messick
Officer — Chief Financial Officer
Period of report
Feb 15, 2019
Accepted (ET)
Feb 20, 2019 · 4:37 pm 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 | Feb 15, 2019 | M | 34,531 | $1.68 | A | 295,864 | D | |
| Common Stock | Feb 15, 2019 | M | 100,000 | $1.70 | A | 395,864 | D | |
| Common Stock | Feb 15, 2019 | F | 71,032 | $3.21 | D | 324,832 | 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) | $1.68 | Feb 15, 2019 | M | 34,531 | D | Feb 28, 2016 | Feb 28, 2022 | Common Stock | 34,531 | 0 | D |
| Common Stock Option (Right to Buy) | $1.70 | Feb 15, 2019 | M | 100,000 | D | Feb 24, 2013 | Feb 24, 2019 | Common Stock | 100,000 | 0 | D |