0001239819-23-000049.txt : 20230317 0001239819-23-000049.hdr.sgml : 20230317 20230317172102 ACCESSION NUMBER: 0001239819-23-000049 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20230315 FILED AS OF DATE: 20230317 DATE AS OF CHANGE: 20230317 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Nestro Gene CENTRAL INDEX KEY: 0001795637 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 000-52008 FILM NUMBER: 23743882 MAIL ADDRESS: STREET 1: C/O LUNA INNOVATIONS, INC. STREET 2: 301 1ST STREET, SW, SUITE 200 CITY: ROANOKE STATE: VA ZIP: 24011 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_167908804971362.xml FORM 4 X0306 4 2023-03-15 0 0001239819 LUNA INNOVATIONS INC LUNA 0001795637 Nestro Gene C/O LUNA INNOVATIONS INCORPORATED 301 1ST STREET, SW, SUITE 200 ROANOKE VA 24011 0 1 0 0 Chief Financial Officer Common Stock 2023-03-15 4 A 0 7147 0 A 192217 D Common Stock 2023-03-15 4 F 0 2152 6.50 D 190065 D Represents the satisfaction of the performance-based vesting condition with respect to a long-term, performance-based restricted stock unit award granted to the reporting person on January 8, 2020, based on the Issuer's 2022 financial results. The number of shares reported reflects the extent of such achievement. In light of the performance-based vesting conditions of the award, such award was not reportable under Section 16 until vesting was determined, which occurred on March 15, 2023. These shares were repurchased by the Issuer pursuant to the election of the holder to satisfy the reporting person's tax withholding obligations in connection with the vesting and settlement of the restricted stock unit award reported in footnote (1) herein. /s/ Scott A. Graeff, Attorney-In-Fact 2023-03-17