0001239819-19-000136.txt : 20191003 0001239819-19-000136.hdr.sgml : 20191003 20191003165940 ACCESSION NUMBER: 0001239819-19-000136 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20191001 FILED AS OF DATE: 20191003 DATE AS OF CHANGE: 20191003 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: WILLIAMSON JOHN B III CENTRAL INDEX KEY: 0001238836 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 000-52008 FILM NUMBER: 191136451 MAIL ADDRESS: STREET 1: PO BOX 13007 CITY: ROANOKE STATE: VA ZIP: 24030 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_157013635778773.xml FORM 4 X0306 4 2019-10-01 0 0001239819 LUNA INNOVATIONS INC LUNA 0001238836 WILLIAMSON JOHN B III C/O LUNA INNOVATIONS INCORPORATED 301 1ST STREET SW, SUITE 200 ROANOKE VA 24011 1 0 0 0 Stock Units 2019-10-01 4 A 0 1644.74 5.70 A Common Stock 1644.74 185087.08 D Stock Units 2019-10-01 4 A 0 175.44 5.70 A Common Stock 175.44 185262.52 D Stock Units 2019-10-01 4 A 0 175.44 5.70 A Common Stock 175.44 185437.96 D Stock units are convertible into issuer's common stock on a 1-for-1 basis. This grant was made pursuant to the issuer's non-employee director compensation policy, as compensation for Mr. Williamson's service as a member of the board of directors for the period from October 1, 2019 to December 31, 2019. The number of restricted stock units is equal to $9,375.00 divided by $5.70, the closing price of the issuer's common stock on the Nasdaq Capital Market on October 1, 2019, 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 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 units have no expiration date. This grant was made pursuant to the issuer's non-employee director compensation policy, as compensation for Mr. Williamson's service on the audit committee of the board of directors for the period from October 1, 2019 to December 31, 2019. The number of restricted stock units is equal to $1,000.00 divided by $5.70, the closing price of issuer's common stock on Nasdaq Capital Market on October 1, 2019, the first trading 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. Williamson's service on the nominating and governance committee of the board of directors for the period from October 1, 2019 to December 31, 2019. The number of restricted stock units is equal to $1,000.00 divided by $5.70, the closing price of issuer's common stock on the Nasdaq Capital Market on October 1, 2019, the first trading day of the quarter. The Reporting Person elected to receive fees in stock units. /s/ Scott A. Graeff, Attorney-In-Fact 2019-10-03