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Ownership Document
|
| Schema Version: X0508 |
| Document Type: 4 |
| Period of Report: 4/4/24 |
| Not Subject to Section 16: 0 |
| Issuer: |
| Issuer CIK: 1239819 |
| Issuer Name: LUNA INNOVATIONS INC |
| Issuer Trading Symbol: LUNA |
| Reporting Owner: |
| Reporting Owner ID: |
| | Owner CIK: 1860127 |
| | Owner Name: Soller Brian |
| Reporting Owner Address: |
| | Owner Street 1: 301 1ST STREET, SW |
| | Owner Street 2: SUITE 200 |
| | Owner City: ROANOKE |
| | Owner State: VA |
| | Owner ZIP Code: 24011 |
| | Owner State Description: |
| Reporting Owner Relationship: |
| | Is Director? No |
| | Is Officer? Yes |
| | Is Ten Percent Owner? No |
| | Is Other? No |
| | Officer Title: Chief Technology Officer |
| Aff 10b5 One: 0 |
| Non-Derivative Table: |
| Non-Derivative Transaction: |
| | Security Title: |
| | | Value: Common Stock |
| | Transaction Date: |
| | | Value: 4/4/24 |
| | Transaction Coding: |
| | | Transaction Form Type: 4 |
| | | Transaction Code: M |
| | | Equity Swap Involved? No |
| | Transaction Amounts: |
| | | Transaction Shares: |
| Value: 100,000 |
| | | Transaction Price Per Share: |
| Value: 1.49 |
| | | Transaction Acquired-Disposed Code: |
| Value: A |
| | Post-Transaction Amounts: |
| | | Shares Owned Following Transaction: |
| Value: 363,573 |
| | Ownership Nature: |
| | | Direct or Indirect Ownership: |
| Value: D |
| Derivative Table: |
| Derivative Transaction: |
| | Security Title: |
| | | Value: Common Stock Option (Right to Buy) |
| | Conversion or Exercise Price: |
| | | Value: 1.49 |
| | Transaction Date: |
| | | Value: 4/4/24 |
| | Transaction Coding: |
| | | Transaction Form Type: 4 |
| | | Transaction Code: M |
| | | Equity Swap Involved? No |
| | Transaction Amounts: |
| | | Transaction Shares: |
| Value: 100,000 |
| | | Transaction Price Per Share: |
| Value: 0 |
| | | Transaction Acquired-Disposed Code: |
| Value: D |
| | Exercise Date: |
| | | Footnote ID: F1 |
| | Expiration Date: |
| | | Value: 4/7/24 |
| | Underlying Security: |
| | | Underlying Security Title: |
| Value: Common Stock |
| | | Underlying Security Shares: |
| Value: 100,000 |
| | Post-Transaction Amounts: |
| | | Shares Owned Following Transaction: |
| Value: 0 |
| | Ownership Nature: |
| | | Direct or Indirect Ownership: |
| Value: D |
| Footnotes: |
| Footnote - F1: The options are fully vested and exercisable. |
| Remarks: |
| Owner Signature: |
| Signature Name: /s/ Ryan Stewart, Attorney-in-Fact |
| Signature Date: 4/5/24 |
