4//SEC Filing
ROEDEL RICHARD 4
Accession 0001239819-24-000037
CIK 0001239819other
Filed
Mar 25, 8:00 PM ET
Accepted
Mar 26, 7:11 PM ET
Size
7.8 KB
Accession
0001239819-24-000037
Insider Transaction Report
Form 4
ROEDEL RICHARD
Director
Transactions
- Award
Common Stock
2024-03-24+154,639→ 154,639 total
Holdings
- 237,573(indirect: By Profit Sharing Plan)
Common Stock
- 524,633(indirect: By Trust)
Common Stock
Footnotes (3)
- [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.
- [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.
- [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.
Documents
Issuer
LUNA INNOVATIONS INC
CIK 0001239819
Entity typeother
Related Parties
1- filerCIK 0001205976
Filing Metadata
- Form type
- 4
- Filed
- Mar 25, 8:00 PM ET
- Accepted
- Mar 26, 7:11 PM ET
- Size
- 7.8 KB