0001239819-20-000062.txt : 20200513 0001239819-20-000062.hdr.sgml : 20200513 20200513182650 ACCESSION NUMBER: 0001239819-20-000062 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20200511 FILED AS OF DATE: 20200513 DATE AS OF CHANGE: 20200513 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: 20874749 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_158940879280575.xml FORM 4 X0306 4 2020-05-11 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 Stock Units 2020-05-11 4 A 0 8877 7.04 A Common Stock 8877.0 47547.80 D Stock Units Common Stock 232043.49 232043.49 I By Spouse Consists of stock units that are convertible into issuer's common stock on a 1-for-1 basis. This grant was awarded in connection with Mr. Roedel's service as chairman of the board of directors, pursuant to the issuer's non-employee director compensation policy. The number of stock units awarded is equal to $62,500 divided by $7.04, the closing price of the issuer's stock on the Nasdaq Capital Market on May 11, 2020, the date of grant. The stock units vest upon the earlier of the one year anniversary of the grant date or the issuer's annual meeting of stockholders and, subject to vesting, will 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 stock units have no expiration date. /s/ Scott A. Graeff, Attorney-In-Fact 2020-05-13