RICHARD ROEDEL - 27 Oct 2022 Form 4 Insider Report for LUNA INNOVATIONS INC (LUNA)

Role
Director
Signature
/s/ Scott A. Graeff, Attorney-In-Fact
Issuer symbol
LUNA
Transactions as of
27 Oct 2022
Transactions value $
$11,945
Form type
4
Filing time
01 Nov 2022, 17:03:31 UTC
Previous filing
04 Oct 2022
Next filing
04 Jan 2023
SEC
View on sec.gov

Transactions Table

Type Sym Class Transaction Value $ Shares Change % * Price $ Shares After Date Ownership Footnotes
transaction LUNA Common Stock Options Exercise $11.9K +7.07K +2.55% $1.69 285K 27 Oct 2022 By Spousal Trust F1
holding LUNA Common Stock 238K 27 Oct 2022 By Profit Sharing Plan

Derivative Securities (e.g., puts, calls, warrants, options, convertible securities)

Type Sym Class Transaction Value $ Shares Change % * Price $ Shares After Date Underlying Class Amount Exercise Price Ownership Footnotes
transaction LUNA Common Stock Option (Right to Buy) Options Exercise $0 -7.07K -100% $0.00* 0 27 Oct 2022 Common Stock 7.07K $1.69 By Spousal Trust F1, F2
* An asterisk sign (*) next to the price indicates that the price is likely invalid.

Explanation of Responses:

Id Content
F1 The Reporting Person's spouse is trustee of the Spousal Lifetime Access Trust (SLAT). The beneficiaries of the SLAT are the Reporting Person's spouse and children. The Reporting Person disclaims beneficial ownership of the securities held by the SLAT.
F2 The options are fully vested and exercisable.