| Type | Sym | Class | Transaction | Value $ | Shares | Change % | * Price $ | Shares After | Date | Underlying Class | Amount | Exercise Price | Ownership | Footnotes |
|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|
| transaction | LUNA | Stock Units | Award | $15,625 | +1,662 | $9.40 | 1,662 | 01 Oct 2021 | Common Stock | 1,662 | Direct | F1, F2, F3 | ||
| transaction | LUNA | Stock Units | Award | $2,750 | +293 | +18% | $9.40 | 1,955 | 01 Oct 2021 | Common Stock | 293 | Direct | F1, F3, F4 | |
| transaction | LUNA | Stock Units | Award | $1,000 | +106 | +5.4% | $9.40 | 2,061 | 01 Oct 2021 | Common Stock | 106 | Direct | F1, F3, F5 | |
| transaction | LUNA | Stock Units | Award | $1,000 | +106 | +5.2% | $9.40 | 2,168 | 01 Oct 2021 | Common Stock | 106 | Direct | F1, F3, F6 | |
| holding | LUNA | Stock Units | 296,478 | 01 Oct 2021 | Common Stock | 296,478 | By spousal trust | F1, F3, F7 |
| Id | Content |
|---|---|
| F1 | Stock units are convertible into issuer's common stock on a 1-for-1 basis. |
| F2 | The grant was made pursuant to issuer's non-employee director compensation policy, as compensation for Mr. Roedel's service as chairman of the board of directors for the period from October 1, 2021 to December 31, 2021. The number of restricted stock units is equal to $15,625.00 divided by $9.40, the closing price of issuer's common stock on the Nasdaq Capital Market on October 1, 2021, the first trading day of the quarter. The Reporting Person elected to receive fees in stock units. |
| F3 | The stock units become issuable in common stock of the issuer at the election of the Reporting Person upon the earliest to occur of the Reporting Period's termination of service, a change in control of the issuer, an unforeseeable emergency, or a fixed date selected by the Reporting Person. The units have no expiration date. |
| F4 | This grant was made pursuant to the issuer's non-employee director compensation policy, as compensation for Mr. Roedel's service as the chairman of the risk committee of the board of directors for the period from October 1, 2021 to December 31, 2021. The number of restricted stock units is equal to $2,750.00 divided by $9.40, the closing price of issuer's common stock on the Nasdaq Capital Market on October 1, 2021, the first 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. Roedel's service on the nominating and governance committee of the board of directors for the period from October 1, 2021 to December 31, 2021. The number of restricted stock units is equal to $1,000.00 divided by $9.40, the closing price of issuer's common stock on the Nasdaq Capital Market on October 1, 2021, the first day of the quarter. The Reporting Person elected to receive fees in stock units. |
| F6 | This grant was made pursuant to issuer's non-employee director compensation policy, as compensation for Mr. Roedel's service on the compensation committee of the board of directors for the period from October 1, 2021 to December 31, 2021. The number of restricted stock units is equal to $1,000.00 divided by $9.40, the closing price of issuer's common stock on the Nasdaq Capital Market on October 1, 2021, the first day of the quarter. The Reporting Person elected to receive fees in stock units. |
| F7 | On September 16, 2021, the Reporting Person and his spouse contributed an aggregate of 296,478.26 stock units to a Spousal Lifetime Access Trust (SLAT), of which the Reporting Person's spouse is trustee. 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. |