Form Type: 4

SEC EDGAR Link
Accession Number:0001239819-19-000123
Date:2019-09-13
Issuer: LUNA INNOVATIONS INC (LUNA)
Original Submission Date:

Reporting Person:

ROEDEL RICHARD
C/O LUNA INNOVATIONS INCORPORATED
301 1ST STREET SW, SUITE 200 ROANOKE, VA 24011

Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
Title of SecurityTransaction Date2a. Deemed Execution Date Transaction CodeSharesAcquired or DisposedPrice per share 5. Amount of Securities Beneficially Owned Following Reported Transaction 6. Ownership Form Direct or IndirectNature of Indirect Ownership
COMMON STOCK 2019-09-13 M 60,000 a $0.61 177,573 indirect
COMMON STOCK 2019-09-13 0 $0.00 220,469 indirect
Derivative Securities Acquired, Disposed of, or Beneficially Owned
(e.g., puts, calls, warrants, convertible securities
Title of Derivative Security Conversion or Exercise Price of Derivative Security Transaction Date Deemed Execution Date Transaction Code Number of Derivative Securities Acquired (A) or Disposed of (D) Date ExercisableExpiration Date Title and Amount of Securities Underlying Derivative Security Price of Derivative Security Number of derivative Securities Beneficially Owned Following Reported Transaction(s) Ownership Form: Direct (D) or Indirect (I) Nature of Indirect Beneficial Ownership
COMMON STOCK OPTION (RIGHT TO BUY) 0.61 2019-09-13 deemed execution date M 60,000 (d) 2019-09-14 common stock 60,000 $0.61 60,000 indirect by profit sharing plan
Footnotes
IDfootnote
f1 fully vested.
f2 the reporting person transferred this option to his wife as a gift on june 15, 2018. the reporting person's wife transferred this option back to the reporting person's defined benefit plan as a gift on 9/12/2019.
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