0001239819-24-000108.txt : 20241003 0001239819-24-000108.hdr.sgml : 20241003 20241003172332 ACCESSION NUMBER: 0001239819-24-000108 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20241001 FILED AS OF DATE: 20241003 DATE AS OF CHANGE: 20241003 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: PHELPS BARRY CENTRAL INDEX KEY: 0001240508 ORGANIZATION NAME: FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 000-52008 FILM NUMBER: 241352684 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] 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_1727990606.xml FORM 4 X0508 4 2024-10-01 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 0 Stock Units 2024-10-01 4 A 0 7394.37 0 A Common Stock 7394.37 147247.36 D Stock Units 2024-10-01 4 A 0 2004.33 0 A Common Stock 2004.33 149251.69 D Stock Units 2024-10-01 4 A 0 1760.56 0 A Common Stock 1760.56 151012.25 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 chair of the board of directors for the period from October 1, 2024 to December 31, 2024. The number of stock units is equal to $15,750.00 divided by $2.13, the closing price of the issuer's common stock on the Nasdaq Capital Market on October 1, 2024, 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. Mr. Phelps was appointed chair of the board of directors effective July 16, 2024. This grant was made pursuant to issuer's non-employee director compensation policy, as compensation for Mr. Phelps's service as chair of the board of director for the period from July 16, 2024 to September 30, 2024. The number of stock units is equal to $4,269.23 divided by $2.13, the closing price of issuer's common stock on the Nasdaq Capital Market on October 1, 2024, 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 as the chairman of the audit committee of the board of directors for the period from October 1, 2024 to December 31, 2024. The number of stock units is equal to $3,750.00 divided by $2.13, the closing price of issuer's common stock on the Nasdaq Capital Market on October 1, 2024, the first trading day of the quarter. The Reporting Person elected to receive fees in stock units. /s/ Ryan Stewart, Attorney-In-Fact 2024-10-03