Accession Number: | 0001239819-19-000123 |
Date: | 2019-09-13 |
Issuer: | LUNA INNOVATIONS INC (LUNA) |
Original Submission Date: |
ROEDEL RICHARD
C/O LUNA INNOVATIONS INCORPORATED
301 1ST STREET SW, SUITE 200
ROANOKE, VA 24011
Title of Security | Transaction Date | 2a. Deemed Execution Date | Transaction Code | Shares | Acquired or Disposed | Price per share | 5. Amount of Securities Beneficially Owned Following Reported Transaction | 6. Ownership Form Direct or Indirect | Nature 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 |
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 Exercisable | Expiration 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 |
ID | footnote |
---|---|
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. |