0001239819-21-000074.txt : 20210702 0001239819-21-000074.hdr.sgml : 20210702 20210702165348 ACCESSION NUMBER: 0001239819-21-000074 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20210701 FILED AS OF DATE: 20210702 DATE AS OF CHANGE: 20210702 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: VITALE MARY BETH CENTRAL INDEX KEY: 0001186863 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 000-52008 FILM NUMBER: 211071013 MAIL ADDRESS: STREET 1: 821 17TH STREET CITY: DENVER STATE: CO ZIP: 80202 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: LUNA INNOVATIONS INC CENTRAL INDEX KEY: 0001239819 STANDARD INDUSTRIAL CLASSIFICATION: SERVICES-COMMERCIAL PHYSICAL & BIOLOGICAL RESEARCH [8731] IRS NUMBER: 000000000 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 BUSINESS ADDRESS: STREET 1: 301 FIRST STREET SW STREET 2: SUITE 200 CITY: ROANOKE STATE: VA ZIP: 24011 BUSINESS PHONE: 540-769-8400 MAIL ADDRESS: STREET 1: 301 FIRST STREET SW STREET 2: SUITE 200 CITY: ROANOKE STATE: VA ZIP: 24011 4 1 wf-form4_162525920939291.xml FORM 4 X0306 4 2021-07-01 0 0001239819 LUNA INNOVATIONS INC LUNA 0001186863 VITALE MARY BETH C/O LUNA INNOVATIONS INCORPORATED 301 1ST STREET, SW, SUITE 200 ROANOKE VA 24011 1 0 0 0 Stock Units 2021-07-01 4 A 0 864.06 10.85 A Common Stock 864.06 24707.34 D Stock Units 2021-07-01 4 A 0 253.46 10.85 A Common Stock 253.46 24960.80 D Stock Units 2021-07-01 4 A 0 92.17 10.85 A Common Stock 92.17 25052.97 D Stock Units 2021-07-01 4 A 0 92.17 10.85 A Common Stock 92.17 25145.14 D Stock Units are convertible into issuer's common stock on a 1-for-1 basis. This grant was made pursuant to the issuer's non-employee director compensation, as compensation for Ms. Vitale's service as a member of the board of directors for the period from July 1, 2021 to September 30, 2021. The number of restricted stock units is equal to $9,375.00 divided by $10.85, the closing price of the issuer's common stock on the Nasdaq Capital Market on July 1, 2021, the first trading day of the quarter. The Reporting Person elected to receive fees in stock units. The stock units 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. This grant was made pursuant to issuer's non-employee director compensation policy, as compensation for Ms. Vitale's service as the chair of the nominating and governance committee of the board of directors for the period from July 1, 2021 to September 30, 2021. The number of restricted stock units is equal to $2,750.00 divided by $10.85, the closing price of issuer's common stock on the Nasdaq Capital Market on July 1, 2021, the first trading day of the quarter. The Reporting Person elected to receive fees in stock units. This grant was made pursuant to the issuer's non-employee director compensation policy, as compensation for Ms. Vitale's service on the audit committee of the board of directors for the period from July 1, 2021 to September 30, 2021. The number of restricted stock units is equal to $1,000.00 divided by $10.85, the closing price of issuer's common stock on Nasdaq Capital Market on July 1, 2021, the first trading day of the quarter. The Reporting Person elected to receive fees in stock units. This grant was made pursuant to the issuer's non-employee director compensation policy, as compensation for Ms. Vitale's service on the risk committee of the board of directors for the period from July 1, 2021 to September 30, 2021. The number of restricted stock units is equal to $1,000.00 divided by $10.85, the closing price of issuer's common stock on Nasdaq Capital Market on July 1, 2021, the first trading day of the quarter. The Reporting Person elected to receive fees in stock units. /s/ Scott A. Graeff, Attorney-In-Fact 2021-07-02