Form Type: 4

SEC EDGAR Link
Accession Number:0001239819-19-000133
Date:2019-10-01
Issuer: LUNA INNOVATIONS INC (LUNA)
Original Submission Date:

Reporting Person:

PHELPS BARRY
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
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
STOCK UNITS 0.0 2019-10-01 deemed execution date A 1,645 (a) common stock 1,645 $0.00 45,969 direct
STOCK UNITS 0.0 2019-10-01 deemed execution date A 482 (a) common stock 482 $0.00 46,451 direct
STOCK UNITS 0.0 2019-10-01 deemed execution date A 175 (a) common stock 175 $0.00 46,627 direct
Footnotes
IDfootnote
f1 stock units are convertible into issuer's common stock on a 1-for-1 basis.
f2 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 october 1, 2019 to december 31, 2019. the number of restricted stock units is equal to $9,375.00 divided by $5.70, the closing price of the issuer's common stock on the nasdaq capital market on october 1, 2019, the first trading day of the quarter. the reporting person elected to receive fees in stock units.
f3 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.
f4 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, 2019 to december 31, 2019. the number of restricted stock units is equal to $2,750.00 divided by $5.70, the closing price of issuer's common stock on the nasdaq capital market on october 1, 2019, the first trading day of the quarter. the reporting person elected to receive fees in stock units.
f5 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 october 1, 2019 to december 31, 2019. the number of restricted stock units is equal to $1,000.00 divided by $5.70, the closing price of issuer's common stock on the nasdaq capital market on october 1, 2019, the first trading day of the quarter. the reporting person elected to receive fees in stock units.
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