Ownership Submission
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FORM 4
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Check this box if no longer subject to Section 16, Form 4 or Form 5 obligations may continue. See Instruction 1(b).
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UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OF SECURITIES Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934 or Section 30(h) of the Investment Company Act of 1940
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OMB APPROVAL
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OMB Number:3235-0287Expires:January 31, 2005Estimated average burden hours per response...0.5
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1. Name and Address of Reporting Person *
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SPIEGEL GARY
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2. Issuer Name and Ticker or Trading Symbol
LUNA INNOVATIONS INC [LUNA]
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5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
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__X__ Director
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_____ 10% Owner
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_____ Officer (give title below)
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_____ Other (specify below)
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(Last)
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(First)
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(Middle)
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301 1ST STREET, SW , SUITE 200
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3. Date of Earliest Transaction (Month/Day/Year)
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(Street)
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ROANOKE
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VA
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24011
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4. If Amendment, Date Original Filed(Month/Day/Year)
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6. Individual or Join/Group Filing(Check Applicable Line)
_X_ Form filed by One Reporting Person
___ Form filed by More than One Reporting Person
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Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
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1.Title of Security
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2. Transaction Date (Month/Day/Year)
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2A. Deemed Execution Date, if any (Month/Day/Year)
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3. Transaction Code
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4. Securities Acquired (A) or Disposed of (D)
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5. Amount of Securities Beneficially Owned Following Reported Transaction(s)
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6. Ownership Form: Direct (D) or Indirect (I)
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7. Nature of Indirect Beneficial Ownership
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Code
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V
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Amount
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(A) or (D)
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Price
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Table II - Derivative Securities Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities)
(e.g., puts, calls, warrants, options, convertible securities)
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1. Title of Derivate Security
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2. Conversion or Exercise Price of Derivative Security
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3. Transaction Date (Month/Day/Year)
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3A. Deemed Execution Date, if any (Month/Day/Year)
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4. Transaction Code
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5. Number of Derivative Securities Acquired (A) or Disposed of (D)
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6. Date Exercisable and Expiration Date
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7. Title and Amount of Securities Underlying Derivative Security
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8. Price of Derivative Security
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9. Number of derivative Securities Beneficially Owned Following Reported Transaction(s)
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10. Ownership Form of Derivative Security: Direct (D) or Indirect (I)
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11. Nature of Indirect Beneficial Ownership
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Code
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V
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(A)
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(D)
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Date Exercisable
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Expriation Date
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Title
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Amount or Number of Shares
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Reporting Owners
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Reporting Owner Name / Address
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Relationships
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Director
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10% Owner
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Officer
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Other
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SPIEGEL GARY
301 1ST STREET, SW
SUITE 200
ROANOKE, VA24011
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X
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Signatures
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/s/ Ryan Stewart, Attorney-In-Fact
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2024-10-03
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**Signature of Reporting Person
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Date
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Explanation of Responses:
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(*)
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If the form is filed by more than one reporting person, see Instruction 5(b)(v).
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(**)
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Intentional misstatements or omissions of facts constitute Federal Criminal Violations. See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a).
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(1)
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Stock Units are convertible into issuer's common stock on a 1-for-1 basis.
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(2)
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This grant was made pursuant to the issuer's non-employee director compensation policy, as compensation for Mr. Spiegel's service as a member of the board of directors for the period from October 1, 2024 to December 31, 2024. The number of stock units is equal to $4,200.00, the portion of their fees the Reporting person elected to receive in stock units, divided by $2.13, the closing price of the issuer's common stock on the Nasdaq Capital Market October 1, 2024, the first trading day of the quarter.
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(3)
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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 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.
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(4)
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This grant was made pursuant to issuer's non-employee director compensation policy, as compensation for Mr. Spiegel's service as the chairman of the compensation 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 $1,500.00, the portion of their fees the Reporting Person elected to receive in stock units, 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.
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(5)
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This grant was made pursuant to issuer's non-employee director compensation policy, as compensation for Mr. Spiegel's service on the nominating and governance 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 $500.00, the portion of their fees the Reporting Person elected to receive in stock units, 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.
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