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