Key facts
- This page summarizes Barry Phelps's Form 4 filing for LUNA INNOVATIONS INC.
- 3 reported transactions and 3 derivative rows are listed below.
- Accepted by SEC: 03 Oct 2024, 17:23.
Barry Phelps - 01 Oct 2024 Form 4 Insider Report for LUNA INNOVATIONS INC
- Reporting relationship
- Director
- Issuer ticker
- N/A
- Reported as of
- 01 Oct 2024
- Net transaction value
- $0
- SEC form
- 4
- Accepted by SEC
- 03 Oct 2024, 17:23:32 UTC
- Prior SEC filing
- 01 Jul 2024
- Next SEC filing
- 17 Jun 2025
- Source filing
- View source filing
- Reporting owner signature
- /s/ Ryan Stewart, Attorney-In-Fact
Source evidence
Original filing metadata and source links for verification.
5 source fields
Reporting owner
1 detail
Key filing fact
Barry Phelps filed Form 4 for LUNA INNOVATIONS INC on 03 Oct 2024.
Change
- Previous filing in this sequence was filed on 01 Jul 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
- +7,394
- Change %
- +5.3%
- Price
- $0.000000
- Shares after
- 147,247
- Date
- 01 Oct 2024
- Ownership
- Direct
- Underlying class
- Common Stock
- Underlying amount
- 7,394
- Exercise price
- Footnotes
- F1, F2, F3
LUNA
transaction
Derivative
Stock Units
Award
- Transaction value
- $0
- Shares
- +2,004
- Change %
- +1.4%
- Price
- $0.000000
- Shares after
- 149,252
- Date
- 01 Oct 2024
- Ownership
- Direct
- Underlying class
- Common Stock
- Underlying amount
- 2,004
- Exercise price
- Footnotes
- F1, F3, F4
LUNA
transaction
Derivative
Stock Units
Award
- Transaction value
- $0
- Shares
- +1,761
- Change %
- +1.2%
- Price
- $0.000000
- Shares after
- 151,012
- Date
- 01 Oct 2024
- Ownership
- Direct
- Underlying class
- Common Stock
- Underlying amount
- 1,761
- Exercise price
- Footnotes
- F1, F3, F5
* marks a reported price that did not pass the local price check.
Additional SEC filing notes
Filing notes and footnotes
Explanation of responses 5 footnotes
Footnote F1
Stock Units are convertible into issuer's common stock on a 1-for-1 basis.
Footnote F2
This grant was made pursuant to the issuer's non-employee director compensation policy, as compensation for Mr. Phelps's service as chair of the board of directors for the period from October 1, 2024 to December 31, 2024. The number of stock units is equal to $15,750.00 divided by $2.13, the closing price of the issuer's common stock on the Nasdaq Capital Market on October 1, 2024, the first trading day of the quarter. The Reporting Person elected to receive fees in stock units.
Footnote F3
The stock units became 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 selected by the Reporting Person. The units have no expiration date.
Footnote F4
Mr. Phelps was appointed chair of the board of directors effective July 16, 2024. This grant was made pursuant to issuer's non-employee director compensation policy, as compensation for Mr. Phelps's service as chair of the board of director for the period from July 16, 2024 to September 30, 2024. The number of stock units is equal to $4,269.23 divided by $2.13, the closing price of issuer's common stock on the Nasdaq Capital Market on October 1, 2024, the first trading 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. Phelps's service as the chairman of the audit committee of the board of directors for the period from October 1, 2024 to December 31, 2024. The number of stock units is equal to $3,750.00 divided by $2.13, the closing price of issuer's common stock on the Nasdaq Capital Market on October 1, 2024, the first trading day of the quarter. The Reporting Person elected to receive fees in stock units.