Reported relationships
Latest disclosed role at each company.
| Company | Last reported as | Report date | Published |
|---|---|---|---|
| LUNA INNOVATIONS INCLUNA · Entity 84494 | 10% owner | September 04, 2019 | September 06, 2019 |
| Runway Growth Finance Corp.NONE · Entity 6030 | 10% owner | May 10, 2019 | May 14, 2019 |
Disclosed balances
About these balances
Latest available filing per company, not a reconstructed current portfolio. Matching sequences show the last reported balance with all source rows expandable; grouping alone does not establish account ownership. Do not add unresolved positions together. Filings may omit unchanged positions, and amendments may correct only part of an older disclosure. Jointly reported shares are not necessarily this owner's personal holdings.
LUNA INNOVATIONS INC
Report date September 04, 2019 · Filed September 06, 2019
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | Direct | 864,330 |
Ending reported balance
After 2019-09-06 transaction · row 3
3 source rows · reconciled sequenceRow 1 · 2019-09-04 · Sale · Disposed 71,701 · Balance 964,330 F1: Price reflected is a weighted-average sale price for the shares sold. The range of sales prices for the transaction reported was $6.25 - $6.38 per share, inclusive. The reporting person is undertaken to provide upon request of the staff, the issuer, or a secondary holder of the issuer, full information regarding the number of shares sold at each price. Row 2 · 2019-09-05 · Sale · Disposed 48,953 · Balance 915,377 F2: Price reflected is a weighted-average sale price for the shares sold. The range of sales prices for the transaction reported was $6.60 - $6.86 per share, inclusive. The reporting person is undertaken to provide upon request of the staff, the issuer, or a secondary holder of the issuer, full information regarding the number of shares sold at each price. Row 3 · 2019-09-06 · Sale · Disposed 51,047 · Balance 864,330 |
Filing footnotes · ownership attribution and instrument terms
F1: Price reflected is a weighted-average sale price for the shares sold. The range of sales prices for the transaction reported was $6.25 - $6.38 per share, inclusive. The reporting person is undertaken to provide upon request of the staff, the issuer, or a secondary holder of the issuer, full information regarding the number of shares sold at each price.
F2: Price reflected is a weighted-average sale price for the shares sold. The range of sales prices for the transaction reported was $6.60 - $6.86 per share, inclusive. The reporting person is undertaken to provide upon request of the staff, the issuer, or a secondary holder of the issuer, full information regarding the number of shares sold at each price.
Runway Growth Finance Corp.
Report date May 10, 2019 · Filed May 14, 2019
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common Stock, par value $0.01 per shareSEC Table I · non-derivative | Direct | 1,739,836.99 |
Reported balance
After 2019-05-10 transaction · row 1
Account or security details depend on footnotes; rows are not merged.
1 source rowRow 1 · 2019-05-10 · Purchase · Acquired 293,571.77 · Balance 1,739,836.99 F1: The number of shares includes shares acquired pursuant to the Runway Growth Credit Fund Inc. automatic dividend reinvestment plan ("DRIP"), exempt under Rule 16a-11. |
Filing footnotes · ownership attribution and instrument terms
F1: The number of shares includes shares acquired pursuant to the Runway Growth Credit Fund Inc. automatic dividend reinvestment plan ("DRIP"), exempt under Rule 16a-11.
Transaction history
JSON APIPurchases/sales include open-market and private transactions. Plan disclosure applies to the filing; individual rows may differ. “Not disclosed” is not “unplanned.”
The cutoff filters transaction history only. Company summaries and owner relationships show the latest available disclosures. Parser corrections can improve historical records.
| Transaction date | Company | Activity / security | Shares / units | Reported price | Reported value | Details |
|---|---|---|---|---|---|---|
| May 02, 2018 Filed May 3, 2018 16:34 UTC | LUNA INNOVATIONS INC LUNA · Entity 84494 | SaleCommon Stock | 6,275 | $3.41 | $21,397.75 |
DisclosureSEC source: 0001239819-18-000027 · wf-form4_152537965264691.xml · nonDerivative · entry 2 Carilion Clinic · CIK 0001363589 · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 2,143,952 Read SEC document |
| May 01, 2018 Filed May 3, 2018 16:34 UTC | LUNA INNOVATIONS INC LUNA · Entity 84494 | SaleCommon Stock | 14,103 | $3.41 | $48,091.23 |
DisclosureSEC source: 0001239819-18-000027 · wf-form4_152537965264691.xml · nonDerivative · entry 1 Carilion Clinic · CIK 0001363589 · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 2,150,227 F1 · price: Price reflected is a weighted-average sale price for shares sold. The range of sale prices for the transactions reported was $3.40 to $3.44 per share, inclusive. The reporting person undertakes to provide upon request by the SEC staff, the issuer, or a security holder of the issuer, full information regarding the number of shares sold at each separate price. Read SEC document |
| April 26, 2018 Filed Apr 30, 2018 16:39 UTC | LUNA INNOVATIONS INC LUNA · Entity 84494 | OtherWarrant (right to buy) · Derivative | 118,017 | $0.00 Strike: $2.50 | $0.00 |
DisclosureSEC source: 0001239819-18-000025 · wf-form4_152512069892364.xml · derivative · entry 2 Carilion Clinic · CIK 0001363589 · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 237,983 Underlying: Common Stock · 118,017 shares Expires 2020-12-31 F1 · derivative.exercise_date: Immediately exercisable. Read SEC document |
| April 26, 2018 Filed Apr 30, 2018 16:39 UTC | LUNA INNOVATIONS INC LUNA · Entity 84494 | OtherCommon Stock | 118,017 | $2.50 | $295,042.50 |
DisclosureSEC source: 0001239819-18-000025 · wf-form4_152512069892364.xml · nonDerivative · entry 1 Carilion Clinic · CIK 0001363589 · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 2,164,330 Read SEC document |
| April 17, 2018 Filed Apr 18, 2018 16:54 UTC | LUNA INNOVATIONS INC LUNA · Entity 84494 | SaleCommon Stock | 5,472 | $3.40 | $18,604.80 |
DisclosureSEC source: 0001239819-18-000023 · wf-form4_152408486239116.xml · nonDerivative · entry 2 Carilion Clinic · CIK 0001363589 · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 2,046,313 Read SEC document |
| April 16, 2018 Filed Apr 18, 2018 16:54 UTC | LUNA INNOVATIONS INC LUNA · Entity 84494 | SaleCommon Stock | 33,700 | $3.41 | $114,917.00 |
DisclosureSEC source: 0001239819-18-000023 · wf-form4_152408486239116.xml · nonDerivative · entry 1 Carilion Clinic · CIK 0001363589 · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 2,051,785 F1 · price: Price reflected is a weighted-average sale price for shares sold. The range of sale prices for the transactions reported was $3.40 to $3.43 per share, inclusive. The reporting person undertakes to provide upon request by the SEC staff, the issuer, or a security holder of the issuer, full information regarding the number of shares sold at each separate price. Read SEC document |
| April 13, 2018 Filed Apr 16, 2018 17:20 UTC | LUNA INNOVATIONS INC LUNA · Entity 84494 | Exercise / conversionCommon Stock Option (Right to Buy) · Derivative | 43,212 | $0.00 Strike: $2.32 | $0.00 |
DisclosureSEC source: 0001239819-18-000021 · wf-form4_152391358808675.xml · derivative · entry 4 Carilion Clinic · CIK 0001363589 · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 43,212 shares Expires 2020-05-14 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F3 · derivative.exercise_date: Fully vested. Read SEC document |
| April 13, 2018 Filed Apr 16, 2018 17:20 UTC | LUNA INNOVATIONS INC LUNA · Entity 84494 | Exercise / conversionCommon Stock | 43,212 | $2.32 | $100,251.84 |
DisclosureSEC source: 0001239819-18-000021 · wf-form4_152391358808675.xml · nonDerivative · entry 3 Carilion Clinic · CIK 0001363589 · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 2,085,485 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. Read SEC document |
| April 13, 2018 Filed Apr 16, 2018 17:20 UTC | LUNA INNOVATIONS INC LUNA · Entity 84494 | SaleCommon Stock | 18,065 | $3.24 | $58,530.60 |
DisclosureSEC source: 0001239819-18-000021 · wf-form4_152391358808675.xml · nonDerivative · entry 2 Carilion Clinic · CIK 0001363589 · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 2,042,273 F2 · price: Price reflected is a weighted-average sale price for shares sold. The range of sale prices for the transactions reported was $3.20 to $3.40 per share. The reporting person undertakes to provide upon request by the SEC staff, the issuer, or a security holder of the issuer, full information regarding the number of shares sold at each separate price. Read SEC document |
| April 12, 2018 Filed Apr 16, 2018 17:20 UTC | LUNA INNOVATIONS INC LUNA · Entity 84494 | SaleCommon Stock | 59,980 | $3.43 | $205,731.40 |
DisclosureSEC source: 0001239819-18-000021 · wf-form4_152391358808675.xml · nonDerivative · entry 1 Carilion Clinic · CIK 0001363589 · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 2,060,338 F1 · price: Price reflected is a weighted-average sale price for shares sold. The range of sale prices for the transactions reported was $3.40 to $3.47 per share. The reporting person undertakes to provide upon request by the SEC staff, the issuer, or a security holder of the issuer, full information regarding the number of shares sold at each separate price. Read SEC document |
| April 11, 2018 Filed Apr 12, 2018 16:27 UTC | LUNA INNOVATIONS INC LUNA · Entity 84494 | SaleCommon Stock | 19,346 | $3.42 | $66,163.32 |
DisclosureSEC source: 0001239819-18-000019 · wf-form4_152356482220594.xml · nonDerivative · entry 2 Carilion Clinic · CIK 0001363589 · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 2,120,318 F2 · price: Price reflected is a weighted-average sale price for shares sold. The range of sale prices for the transactions reported was $3.40 to $3.43 per share, inclusive. The reporting person undertakes to provide upon request by the SEC staff, the issuer, or a security holder of the issuer, full information regarding the number of shares sold at each separate price. Read SEC document |
| April 10, 2018 Filed Apr 12, 2018 16:27 UTC | LUNA INNOVATIONS INC LUNA · Entity 84494 | SaleCommon Stock | 24,666 | $3.44 | $84,851.04 |
DisclosureSEC source: 0001239819-18-000019 · wf-form4_152356482220594.xml · nonDerivative · entry 1 Carilion Clinic · CIK 0001363589 · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 2,139,664 F1 · price: Price reflected is a weighted-average sale price for shares sold. The range of sale prices for the transactions reported was $3.40 to $3.47 per share, inclusive. The reporting person undertakes to provide upon request by the SEC staff, the issuer, or a security holder of the issuer, full information regarding the number of shares sold at each separate price. Read SEC document |
| December 08, 2017 Filed Dec 11, 2017 17:09 UTC | Runway Growth Finance Corp. NONE · Entity 6030 | PurchaseCommon Stock, par value $0.01 per share | 196,631.6 | $15.00 | $2,949,474.00 |
DisclosureSEC source: 0001144204-17-063160 · tv481112_4.xml · nonDerivative · entry 1 Carilion Clinic · CIK 0001363589 · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 787,878.8 Read SEC document |
| August 28, 2017 Filed Sep 5, 2017 16:37 UTC | Runway Growth Finance Corp. NONE · Entity 6030 | PurchaseCommon Stock, par value $0.01 per share | 258,802.6 | $15.00 | $3,882,039.00 |
DisclosureSEC source: 0001144204-17-046605 · v474567_4.xml · nonDerivative · entry 1 Carilion Clinic · CIK 0001363589 · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 591,247.2 Read SEC document |
| June 12, 2017 Filed Jun 14, 2017 17:14 UTC | Runway Growth Finance Corp. NONE · Entity 6030 | PurchaseCommon Stock, par value $0.01 per share | 181,888.53 | $15.00 | $2,728,327.95 |
DisclosureSEC source: 0001144204-17-032575 · v468927_4.xml · nonDerivative · entry 1 Carilion Clinic · CIK 0001363589 · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 332,444.6 Read SEC document |
| April 19, 2017 Filed Apr 21, 2017 21:44 UTC | Runway Growth Finance Corp. NONE · Entity 6030 | PurchaseCommon Stock, par value $0.01 per share | 110,854.73 | $15.00 | $1,662,820.95 |
DisclosureSEC source: 0001144204-17-021606 · v464867_4.xml · nonDerivative · entry 1 Carilion Clinic · CIK 0001363589 · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 150,556.07 Read SEC document |
| January 30, 2017 Filed Jan 31, 2017 16:48 UTC | LUNA INNOVATIONS INC LUNA · Entity 84494 | SaleCommon Stock | 25,166 | $2.00 | $50,332.00 |
DisclosureSEC source: 0001239819-17-000006 · wf-form4_148589931364534.xml · nonDerivative · entry 2 Carilion Health System · CIK 0001363589 · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 2,164,330 Read SEC document |
| January 27, 2017 Filed Jan 31, 2017 16:48 UTC | LUNA INNOVATIONS INC LUNA · Entity 84494 | SaleCommon Stock | 59,400 | $1.98 | $117,612.00 |
DisclosureSEC source: 0001239819-17-000006 · wf-form4_148589931364534.xml · nonDerivative · entry 1 Carilion Health System · CIK 0001363589 · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 2,189,496 F1 · price: Price reflected is a weighted-average sale price for shares sold. The range of sale prices for the transactions reported was $1.95 to $2.00 per share. The reporting person undertakes to provide upon request by the SEC staff, the issuer, or a security holder of the issuer, full information regarding the number of shares sold at each separate price. Read SEC document |
Value uses the disclosed total when available, otherwise shares × reported transaction price. It is not an estimate of exercise cash cost or investment performance.