0001239819-20-000083.txt : 20201002
0001239819-20-000083.hdr.sgml : 20201002
20201002170258
ACCESSION NUMBER: 0001239819-20-000083
CONFORMED SUBMISSION TYPE: 4
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20201001
FILED AS OF DATE: 20201002
DATE AS OF CHANGE: 20201002
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: 201221026
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_160167256564844.xml
FORM 4
X0306
4
2020-10-01
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
2020-10-01
4
A
0
2561.48
6.10
A
Common Stock
2561.48
53000.58
D
Stock Units
2020-10-01
4
A
0
163.93
6.10
A
Common Stock
163.93
53164.51
D
Stock Units
Common Stock
232043.49
232043.49
I
By Spouse
Stock units are convertible into issuer's common stock on a 1-for-1 basis.
The grant was made pursuant to issuer's non-employee director compensation policy, as compensation for Mr. Roedel's service as chairman of the board of directors for the period from October 1, 2020 to December 31, 2020. The number of restricted stock units is equal to $15,625.00 divided by $6.10, the closing price of issuer's common stock on the Nasdaq Capital Market on October 1, 2020, 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 Period'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 Mr. Roedel's service on the audit committee of the board of directors for the period from October 1, 2020 to December 31, 2020. The number of restricted stock units is equal to $1,000.00 divided by $6.10, the closing price of issuer's common stock on the Nasdaq Capital Market on October 1, 2020, the first day of the quarter. The Reporting Person elected to receive fees in stock units.
/s/ Scott A. Graeff, Attorney-In-Fact
2020-10-02