UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549INITIAL STATEMENT OF BENEFICIAL OWNERSHIP OF SECURITIES Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934, Section 17(a) of the Public Utility Holding Company Act of 1935 or Section 30(h) of the Investment Company Act of 1940 |
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Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. | SEC 1473 (7-02) | ||
Persons who respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB control number. |
1. Title of Derivative Security (Instr. 4) |
2. Date Exercisable and Expiration Date (Month/Day/Year) |
3. Title and Amount of Securities Underlying Derivative Security (Instr. 4) |
4. Conversion or Exercise Price of Derivative Security | 5. Ownership Form of Derivative Security: Direct (D) or Indirect (I) (Instr. 5) |
6. Nature of Indirect Beneficial Ownership (Instr. 5) |
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Date Exercisable | Expiration Date | Title | Amount or Number of Shares |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
Murphy Edward G C/O LUNA INNOVATIONS INCORPORATED 1703 S. JEFFERSON STREET, SW SUITE 400 ROANOKE, VA 24016 |
 X |  X |  |  |
Aaron S. Hullman, attorney-in-fact | 02/14/2007 | |
**Signature of Reporting Person | Date |
* | If the form is filed by more than one reporting person, see Instruction 5(b)(v). |
** | Intentional misstatements or omissions of facts constitute Federal Criminal Violations. See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a). |
(1) | These shares of Common Stock were omitted from the reporting person's original Form 3 filing. The reporting person is the President and Chief Executive Officer of Carilion Clinic (formerly Carilion Health System) and shares voting and investment power over the shares owned by Carilion with Donald Lorton and G. Robert Vaughan, Jr., the Treasurer and Assistant Treasurer of Carilion Clinic, respectively. The number of shares beneficially held does not include $5.0 milion aggregate principal amount of senior convertible promissory notes which convert into up to 1,065,740 shares of issuer's Common Stock or accrued interest on such notes convert which is convertable into up to an aggregate of 511,553 shares of common stock. |