0001239819-19-000123.txt : 20190917 0001239819-19-000123.hdr.sgml : 20190917 20190917165614 ACCESSION NUMBER: 0001239819-19-000123 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20190913 FILED AS OF DATE: 20190917 DATE AS OF CHANGE: 20190917 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: ROEDEL RICHARD CENTRAL INDEX KEY: 0001205976 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 000-52008 FILM NUMBER: 191097589 MAIL ADDRESS: STREET 1: 164 WEST RD CITY: NEW CANAAN STATE: CT ZIP: 06840 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_156875375860674.xml FORM 4 X0306 4 2019-09-13 0 0001239819 LUNA INNOVATIONS INC LUNA 0001205976 ROEDEL RICHARD C/O LUNA INNOVATIONS INCORPORATED 301 1ST STREET SW, SUITE 200 ROANOKE VA 24011 1 0 0 0 Common Stock 2019-09-13 4 M 0 60000 0.61 A 177573 I By Profit Sharing Plan Common Stock 220469 I By spouse Common Stock Option (Right to Buy) 0.61 2019-09-13 4 M 0 60000 0 D 2019-09-14 Common Stock 60000.0 60000 I By Profit Sharing Plan Fully vested. The reporting person transferred this option to his wife as a gift on June 15, 2018. The reporting person's wife transferred this option back to the reporting person's defined benefit plan as a gift on 9/12/2019. /s/ Scott A. Graeff, Attorney-In-Fact 2019-09-17