Richard Roedel - 27 Oct 2022 Form 4 Insider Report for LUNA INNOVATIONS INC

Role: Director
Signature: /s/ Scott A. Graeff, Attorney-In-Fact
Issuer symbol: N/A
Transactions as of: 27 Oct 2022
Net 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	$11,945	+7,068	+2.5%	$1.69^*	284,633	27 Oct 2022	By Spousal Trust	F1
holding	LUNA	Common Stock						237,573	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	-7,068	-100%	$0.000000^*	0	27 Oct 2022	Common Stock	7,068	$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.