0001239819-24-000037.txt : 20240326 0001239819-24-000037.hdr.sgml : 20240326 20240326191153 ACCESSION NUMBER: 0001239819-24-000037 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20240324 FILED AS OF DATE: 20240326 DATE AS OF CHANGE: 20240326 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: ROEDEL RICHARD CENTRAL INDEX KEY: 0001205976 ORGANIZATION NAME: FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 000-52008 FILM NUMBER: 24785279 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] ORGANIZATION NAME: 08 Industrial Applications and Services 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 wk-form4_1711494704.xml FORM 4 X0508 4 2024-03-24 0 0001239819 LUNA INNOVATIONS INC LUNA 0001205976 ROEDEL RICHARD C/O LUNA INNOVATIONS INCORPORATED 301 1ST STREET SW, SUITE 200 ROANOKE VA 24011 1 1 0 0 Interim Exec Chair/President 0 Common Stock 2024-03-24 4 A 0 154639 0 A 154639 D Common Stock 237573 I By Profit Sharing Plan Common Stock 524633 I By Spousal Trust Consists of restricted stock units. Each restricted stock unit represents the contingent right to receive one share of common stock of the issuer. The Reporting Person was granted the restricted stock units in connection with the Reporting Person's appointment as Interim Executive Chairman and Interim President. One-fourth of the shares underlying the award will become eligible to vest on each three month anniversary of the grant date, subject to the Reporting Person's continued employment with the issuer as Interim Executive Chairman as of the applicable three month anniversary (the "Service-Eligible RSUs"). Any restricted stock units that become Service-Eligible RSUs will actually vest on March 24, 2025, subject to the Reporting Person's Continuous Service (as defined in the issuer's 2023 Equity Incentive Plan) to the issuer through such date. In the event of Mr. Roedel's death or disability, or in the event of a change in control of the issuer, occurring (a) during Mr. Roedel's service as Interim Executive Chairman, the vesting of any unvested restricted stock units, whether or not Service-Eligible RSUs, shall accelerate in full, or (b) after the termination Mr. Roedel's service as Interim Executive Chair but while Mr. Roedel remains in Continuous Service, the vesting of any Service-Eligible RSUs shall accelerate in full. The restricted stock units have no expiration date. The Reporting Person's spouse is trustee of the Spousal Lifetime Access Trust (SLAT). The beneficiaries of the SLAT are the Reporting Person's spouse and children. The Reporting Person disclaims beneficial ownership of the securities held by the SLAT. /s/ Richard W. Roedel 2024-03-26