Key facts
- This page summarizes Richard Roedel's Form 4 filing for LUNA INNOVATIONS INC.
- 4 reported transactions and 5 derivative rows are listed below.
- Accepted by SEC: 03 Jan 2024, 16:27.
Richard Roedel - 02 Jan 2024 Form 4 Insider Report for LUNA INNOVATIONS INC
- Reporting relationship
- Director
- Issuer ticker
- N/A
- Reported as of
- 02 Jan 2024
- Net transaction value
- $0
- SEC form
- 4
- Accepted by SEC
- 03 Jan 2024, 16:27:02 UTC
- Prior SEC filing
- 03 Jan 2024
- Next SEC filing
- 06 Mar 2024
- Source filing
- View source filing
- Reporting owner signature
- /s/ Scott A. Graeff, Attorney-In-Fact
Source evidence
Original filing metadata and source links for verification.
5 source fields
Reporting owner
1 detail
Key filing fact
Richard Roedel filed Form 4 for LUNA INNOVATIONS INC on 03 Jan 2024.
Change
- Previous filing in this sequence was filed on 03 Jan 2024.
- Current net transaction value: $0.
Research use
- This tells you what this filing adds before you inspect full transaction and derivative tables.
- You can trace every row back to the original SEC filing document.
Evidence
Filed on Form 4
View source filing
Ownership activity is grounded in SEC Form 4 disclosures.
Reported derivative securities
Options, warrants, convertible securities, or similar derivative positions disclosed in the filing.
LUNA
transaction
Derivative
Stock Units
Award
- Transaction value
- $0
- Shares
- +2,316
- Change %
- +3.8%
- Price
- $0.000000
- Shares after
- 63,128
- Date
- 02 Jan 2024
- Ownership
- Direct
- Underlying class
- Common Stock
- Underlying amount
- 2,316
- Exercise price
- Footnotes
- F1, F2, F3
LUNA
transaction
Derivative
Stock Units
Award
- Transaction value
- $0
- Shares
- +404
- Change %
- +0.64%
- Price
- $0.000000
- Shares after
- 63,532
- Date
- 02 Jan 2024
- Ownership
- Direct
- Underlying class
- Common Stock
- Underlying amount
- 404
- Exercise price
- Footnotes
- F1, F3, F4
LUNA
transaction
Derivative
Stock Units
Award
- Transaction value
- $0
- Shares
- +184
- Change %
- +0.29%
- Price
- $0.000000
- Shares after
- 63,716
- Date
- 02 Jan 2024
- Ownership
- Direct
- Underlying class
- Common Stock
- Underlying amount
- 184
- Exercise price
- Footnotes
- F1, F3, F5
LUNA
transaction
Derivative
Stock Units
Award
- Transaction value
- $0
- Shares
- +184
- Change %
- +0.29%
- Price
- $0.000000
- Shares after
- 63,900
- Date
- 02 Jan 2024
- Ownership
- Direct
- Underlying class
- Common Stock
- Underlying amount
- 184
- Exercise price
- Footnotes
- F1, F3, F6
LUNA
holding
Derivative
Stock Units
No transaction description listed
- Transaction value
- Shares
- Change %
- Price
- Shares after
- 296,478
- Date
- 02 Jan 2024
- Ownership
- By spousal trust
- Underlying class
- Common Stock
- Underlying amount
- 296,478
- Exercise price
- Footnotes
- F1, F3
* marks a reported price that did not pass the local price check.
Additional SEC filing notes
Filing notes and footnotes
Explanation of responses 6 footnotes
Footnote F1
Stock units are convertible into issuer's common stock on a 1-for-1 basis.
Footnote 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 January 1, 2024 to March 31, 2024. The number of restricted stock units is equal to $15,750.00 divided by $6.80, the closing price of issuer's common stock on the Nasdaq Capital Market on January 2, 2024, the first trading day of the quarter. The Reporting Person elected to receive fees in stock units.
Footnote 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.
Footnote 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 January 1, 2024 to Mrch 31, 2024. The number of restricted stock units is equal to $2,750.00 divided by $6.80, the closing price of issuer's common stock on the Nasdaq Capital Market on January 2, 2024, the first day of the quarter. The Reporting Person elected to receive fees in stock units.
Footnote 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 January 1, 2024 to March 31, 2024. The number of restricted stock units is equal to $1,250.00 divided by $6.80, the closing price of issuer's common stock on the Nasdaq Capital Market on January 2, 2024, the first day of the quarter. The Reporting Person elected to receive fees in stock units.
Footnote 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 January 1, 2024 to March 31, 2024. The number of restricted stock units is equal to $1,250.00 divided by $6.80, the closing price of issuer's common stock on the Nasdaq Capital Market on January 2, 2024, the first day of the quarter. The Reporting Person elected to receive fees in stock units.