Key facts
- This page summarizes Richard Roedel's Form 4 filing for LUNA INNOVATIONS INC.
- 1 reported transaction and 0 derivative rows are listed below.
- Accepted by SEC: 26 Mar 2024, 19:11.
Richard Roedel - 24 Mar 2024 Form 4 Insider Report for LUNA INNOVATIONS INC
- Reporting relationship
- Interim Exec Chair/President, Director
- Issuer ticker
- N/A
- Reported as of
- 24 Mar 2024
- Net transaction value
- $0
- SEC form
- 4
- Accepted by SEC
- 26 Mar 2024, 19:11:53 UTC
- Prior SEC filing
- 06 Mar 2024
- Next SEC filing
- 02 Apr 2024
- Source filing
- View source filing
- Reporting owner signature
- /s/ Richard W. Roedel
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 26 Mar 2024.
Change
- Previous filing in this sequence was filed on 06 Mar 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 non-derivative transactions
Shares, units, or other non-derivative securities reported in this filing.
LUNA
transaction
Common Stock
Award
- Transaction value
- $0
- Shares
- +154,639
- Change %
- Price
- $0.000000
- Shares after
- 154,639
- Date
- 24 Mar 2024
- Ownership
- Direct
- Footnotes
- F1, F2
LUNA
holding
Common Stock
No transaction description listed
- Transaction value
- Shares
- Change %
- Price
- Shares after
- 237,573
- Date
- 24 Mar 2024
- Ownership
- By Profit Sharing Plan
LUNA
holding
Common Stock
No transaction description listed
- Transaction value
- Shares
- Change %
- Price
- Shares after
- 524,633
- Date
- 24 Mar 2024
- Ownership
- By Spousal Trust
- Footnotes
- F3
* marks a reported price that did not pass the local price check.
Additional SEC filing notes
Filing notes and footnotes
Explanation of responses 3 footnotes
Footnote F1
Consists of restricted stock units. Each restricted stock unit represents the contingent right to receive one share of common stock of the issuer. The Reporting Person was granted the restricted stock units in connection with the Reporting Person's appointment as Interim Executive Chairman and Interim President. One-fourth of the shares underlying the award will become eligible to vest on each three month anniversary of the grant date, subject to the Reporting Person's continued employment with the issuer as Interim Executive Chairman as of the applicable three month anniversary (the "Service-Eligible RSUs"). Any restricted stock units that become Service-Eligible RSUs will actually vest on March 24, 2025, subject to the Reporting Person's Continuous Service (as defined in the issuer's 2023 Equity Incentive Plan) to the issuer through such date.
Footnote F2
In the event of Mr. Roedel's death or disability, or in the event of a change in control of the issuer, occurring (a) during Mr. Roedel's service as Interim Executive Chairman, the vesting of any unvested restricted stock units, whether or not Service-Eligible RSUs, shall accelerate in full, or (b) after the termination Mr. Roedel's service as Interim Executive Chair but while Mr. Roedel remains in Continuous Service, the vesting of any Service-Eligible RSUs shall accelerate in full. The restricted stock units have no expiration date.
Footnote F3
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.