SECURITIES AND EXCHANGE COMMISSION
WASHINGTON, D.C. 20549
UNDER THE SECURITIES EXCHANGE ACT OF 1934
(Amendment No. 10)*
LUNA INNOVATIONS INCORPORATED
(Name of Issuer)
(Title of Class of Securities)
DECEMBER 31, 2016
(Date of Event Which Requires Filing of This Statement)
Check the appropriate box to designate the rule pursuant to which this Schedule is filed:
*The remainder of this cover page shall be filled out for a reporting person’s initial filing on this form with respect to the subject class of securities, and for any subsequent amendment containing information which would alter the disclosures provided in a prior cover page.
The information required in the remainder of this cover page shall not be deemed to be “filed” for the purpose of Section 18 of the Securities Exchange Act of 1934 (“Act”) or otherwise subject to the liabilities of that section of the Act but shall be subject to all other provisions of the Act (however,see the Notes).
CUSIP No. 55035110
Name of Reporting Persons
Check the Appropriate Box if a Member of a Group (See Instructions)
SEC USE ONLY
Citizenship or Place of Organization
Sole Voting Power
Shared Voting Power
Sole Dispositive Power
Shared Dispositive Power
Aggregate Amount Beneficially Owned by Each Reporting Person
Check if the Aggregate Amount in Row (9) Excludes Certain Shares (See Instructions)
Percent of Class Represented by Amount in Row (9)
Type of Reporting Person (See Instructions)
1 This total is comprised of (i) 2,248,896 shares of common stock, (ii) 1,321,514 shares of common stock issuable upon the conversion of immediately convertible shares of preferred stock, (iii) 552,401 shares of common stock issuable upon payment of accrued dividends on the shares of preferred stock as of December 31, 2016, which dividends are payable upon the reporting person’s request, and (iv) 366,000 shares of common stock issuable upon the exercise of immediately exercisable warrants.
2 This percentage is calculated based upon 27,982,827 shares of the Issuer’s common stock outstanding as of December 31, 2016, as provided to the reporting person by the Issuer, as adjusted for the additional securities beneficially owned by the reporting person as described in footnote 1 above.
Luna Innovations Incorporated
Address of Issuer’s Principal Executive Offices
301 First Street, SW, Suite 200
Roanoke, VA 24011
Address of Principal Business Office or, if none, Residence
Carilion Roanoke Memorial Hospital
1906 Belleview Avenue
Roanoke, VA 24014
Title of Class of Securities
If this statement is filed pursuant to §§240.13d-1(b), or 240.13d-2(b) or (c), check whether the person filing is a:
Amount Beneficially Owned: 4,488,811
Percent of Class: 14.9%
Number of shares as to which the person has:
Sole power to vote or to direct the vote: 4,488,811
Shared power to vote or to direct the vote: 0
Sole power to dispose or to direct the disposition of: 4,488,811
Shared power to dispose or to direct the disposition of: 0
Ownership of Five Percent or Less of a Class
If this statement is being filed to report the fact that as of the date hereof the reporting person has ceased to be the beneficial owner of more than five percent of the class of securities, check the following □.
Ownership of More than Five Percent on Behalf of Another Person
Identification and Classification of the Subsidiary Which Acquired the Security Being Reported on By the Parent Holding Company or Control Person.
Identification and Classification of Members of the Group
Notice of Dissolution of a Group
After reasonable inquiry and to the best of my knowledge and belief, I certify that the information set forth in this statement is true, complete and correct.
Dated: January 31, 2017
By: /s/ G. Robert Vaughan, Jr.
Name: G. Robert Vaughan, Jr.