0001239819-23-000058.txt : 20230404 0001239819-23-000058.hdr.sgml : 20230404 20230404184204 ACCESSION NUMBER: 0001239819-23-000058 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20230403 FILED AS OF DATE: 20230404 DATE AS OF CHANGE: 20230404 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: 23800247 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_168064811132713.xml FORM 4 X0407 4 2023-04-03 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 0 Stock Units 2023-04-03 4 A 0 2224.58 0 A Common Stock 2224.58 41438.96 D Stock Units 2023-04-03 4 A 0 388.42 0 A Common Stock 388.42 41827.38 D Stock Units 2023-04-03 4 A 0 176.55 0 A Common Stock 176.55 42003.93 D Stock Units 2023-04-03 4 A 0 176.55 0 A Common Stock 176.55 42180.48 D Stock Units Common Stock 296478.26 296478.26 I By spousal trust 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 April 1, 2023 to June 30, 2023. The number of restricted stock units is equal to $15,750.00 divided by $7.08, the closing price of issuer's common stock on the Nasdaq Capital Market on April 3, 2023, 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 the issuer's non-employee director compensation policy, as compensation for Mr. Roedel's service as the chairman of the risk committee of the board of directors for the period from April 1, 2023 to June 30, 2023. The number of restricted stock units is equal to $2,750.00 divided by $7.08, the closing price of issuer's common stock on the Nasdaq Capital Market on April 3, 2023, the first day of the quarter. The Reporting Person elected to receive fees in stock units. This grant was made pursuant to issuer's non-employee director compensation policy, as compensation for Mr. Roedel's service on the nominating and governance committee of the board of directors for the period from April 1, 2023 to June 30, 2023. The number of restricted stock units is equal to $1,250.00 divided by $7.08, the closing price of issuer's common stock on the Nasdaq Capital Market on April 3, 2023, the first day of the quarter. The Reporting Person elected to receive fees in stock units. This grant was made pursuant to issuer's non-employee director compensation policy, as compensation for Mr. Roedel's service on the compensation committee of the board of directors for the period from April 1, 2023 to June 30, 2023. The number of restricted stock units is equal to $1,250.00 divided by $7.08, the closing price of issuer's common stock on the Nasdaq Capital Market on April 3, 2023, the first day of the quarter. The Reporting Person elected to receive fees in stock units. /s/ Scott A. Graeff, Attorney-In-Fact 2023-04-04