| Type | Sym | Class | Transaction | Value $ | Shares | Change % | * Price $ | Shares After | Date | Ownership | Footnotes |
|---|---|---|---|---|---|---|---|---|---|---|---|
| transaction | LUNA | Common Stock | Options Exercise | $65,200 | +40,000 | +18% | $1.63* | 260,469 | 12 May 2022 | By Spousal Trust | F1, F2 |
| transaction | LUNA | Common Stock | Options Exercise | $27,866 | +17,096 | +6.6% | $1.63* | 277,565 | 12 May 2022 | By Spousal Trust | F2 |
| holding | LUNA | Common Stock | 237,573 | 10 May 2022 | By Profit Sharing Plan |
| Type | Sym | Class | Transaction | Value $ | Shares | Change % | * Price $ | Shares After | Date | Underlying Class | Amount | Exercise Price | Ownership | Footnotes |
|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|
| transaction | LUNA | Stock Units | Award | $0 | +21,200 | +291% | $0.000000 | 28,496 | 10 May 2022 | Common Stock | 21,200 | Direct | F3, F4, F5 | |
| transaction | LUNA | Common Stock Option (Right to Buy) | Options Exercise | $0 | -40,000 | -50% | $0.000000 | 40,000 | 12 May 2022 | Common Stock | 40,000 | $1.63 | By spousal trust | F2, F6, F7 |
| transaction | LUNA | Common Stock Option (Right to Buy) | Options Exercise | $0 | -17,096 | -50% | $0.000000 | 17,096 | 12 May 2022 | Common Stock | 17,096 | $1.63 | By spousal trust | F2, F6, F7 |
| holding | LUNA | Stock Units | 296,478 | 10 May 2022 | Common Stock | 296,478 | By spousal trust | F3, F8 |
| Id | Content |
|---|---|
| F1 | Subsequent to the Reporting Person's most recent Form 4 reporting holdings of Common Stock, the Reporting Person's spouse transferred 220,469 shares of common stock to a Spousal Lifetime Access Trust (SLAT). |
| F2 | The Reporting Person's spouse is trustee of the 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. |
| F3 | Consists of stock units that are convertible into issuer's common stock on a 1-for-1 basis. |
| F4 | This grant was awarded in connection with Mr. Roedel's service as chairman of the board of directors, pursuant to the issuer's non-employee director compensation policy. The number of stock units awarded is equal to $113,000 divided by $5.33, the closing price of the issuer's stock on the Nasdaq Capital Market on May 10, 2022, the date of grant. |
| F5 | The stock units vest upon the earlier of the one year anniversary of the grant date or the issuer's annual meeting of stockholders and, subject to vesting, will become 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 date selected by the Reporting Person. The stock units have no expiration date. |
| F6 | Shares are fully vested and exercisable. |
| F7 | The Reporting Person transferred these options to his spouse as a gift on June 15, 2018. On September 16, 2021, the Reporting Person's spouse transferred these stock options to the SLAT. |
| F8 | 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. |