0001239819-20-000039.txt : 20200402
0001239819-20-000039.hdr.sgml : 20200402
20200402173607
ACCESSION NUMBER: 0001239819-20-000039
CONFORMED SUBMISSION TYPE: 4
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20200401
FILED AS OF DATE: 20200402
DATE AS OF CHANGE: 20200402
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: PHELPS BARRY
CENTRAL INDEX KEY: 0001240508
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 000-52008
FILM NUMBER: 20770437
MAIL ADDRESS:
STREET 1: 26750 AGOURA RD
CITY: CALABASAS
STATE: CA
ZIP: 91302
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_158586334969383.xml
FORM 4
X0306
4
2020-04-01
0
0001239819
LUNA INNOVATIONS INC
LUNA
0001240508
PHELPS BARRY
C/O LUNA INNOVATIONS INCORPORATED
301 1ST STREET SW, SUITE 200
ROANOKE
VA
24011
1
0
0
0
Stock Units
2020-04-01
4
A
0
1602.56
5.85
A
Common Stock
1602.56
50007.84
D
Stock Units
2020-04-01
4
A
0
470.09
5.85
A
Common Stock
470.09
50477.93
D
Stock Units
2020-04-01
4
A
0
170.94
5.85
A
Common Stock
170.94
50648.87
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. Phelps's service as a member of the board of directors for the period from April 1, 2020 to June 30, 2020. The number of restricted stock units is equal to $9,375.00 divided by $5.85, the closing price of the issuer's common stock on the Nasdaq Capital Market April 1, 2020, the first trading day of the quarter. The Reporting Person elected to receive fees in stock units.
The stock units became 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 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. Phelps's service as the chairman of the audit committee of the board of directors for the period from April 1, 2020 to June 30, 2020. The number of restricted stock units is equal to $2,750.00 divided by $5.85, the closing price of issuer's common stock on the Nasdaq Capital Market on April 1, 2020, 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. Phelps's service on the compensation committee of the board of directors for the period from April 1, 2020 to June 30, 2020. The number of restricted stock units is equal to $1,000.00 divided by $5.85, the closing price of issuer's common stock on the Nasdaq Capital Market on April 1, 2020, the first trading day of the quarter. The Reporting Person elected to receive fees in stock units.
/s/ Scott A. Graeff, Attorney-In-Fact
2020-04-02