SEC Filings

Form 10-K
LUNA INNOVATIONS INC filed this Form 10-K on 03/16/09
Document Outline
Entire Document (1.45 MB)
Subdocument 1 - 10-K - FORM 10-K
Page 1 - UNITED STATES
Page 2 - LUNA INNOVATIONS INCORPORATED
Page 3 - CAUTIONARY NOTE REGARDING FORWARD LOOKING STATEMENTS
Page 4 - Products and Services
Page 5 - Test and Measurement Equipment for Fiber Optic Components and Sub-Assemblies
Page 6 - Tunable Lasers
Page 7 - Medical Devices for Non-Invasive Monitoring and Diagnosis
Page 8 - Other Nanomaterial-based Products
Page 9 - N/A
Page 10 - Intellectual Property
Page 11 - Kent A. Murphy, Ph.D.
Page 12 - Competition
Page 13 - FDA Regulation of Products
Page 14 - New Drug Development
Page 15 - Employees
Page 16 - Operating Segments and Geographic Areas
Page 17 - We rely and will continue to rely on contract research, including government-funded research contrac
Page 18 - If we are unable to manage our growth effectively, our revenue and net loss could be adversely affec
Page 19 - We might require additional capital to support business growth, and this capital might not be availa
Page 20 - Our failure to attract, train and retain skilled employees would adversely affect our business and o
Page 21 - The SBA could determine that, as a result of Carilion Clinic s equity ownership, the number of our e
Page 22 - We face and will face substantial competition in several different markets that may adversely affect
Page 23 - We have a debt facility with Silicon Valley Bank that requires us to meet certain restrictive covena
Page 24 - We depend on third-party vendors for specialized components in our manufacturing operations, making
Page 25 - We may be obligated to repay part of the proceeds received in connection with a grant from the City
Page 26 - RISKS RELATING TO OUR REGULATORY ENVIRONMENT
Page 27 - Our health care and medical products are subject to a lengthy and uncertain domestic regulatory appr
Page 28 - Complying with FDA regulations is an expensive and time-consuming process. Our failure to comply ful
Page 29 - We are subject to significant foreign and domestic government regulations, including environmental a
Page 30 - RISKS RELATING TO OUR INTELLECTUAL PROPERTY
Page 31 - Third parties may claim that we infringe their intellectual property, and we could suffer significan
Page 32 - A substantial portion of our technology is subject to retained rights of our licensors, and we may n
Page 33 - RISKS RELATING TO OUR COMMON STOCK
Page 34 - Our financial results may vary significantly from period to period, which may reduce our stock price
Page 35 - As of December 31, 2008, our directors and executive officers collectively controlled approximately
Page 36 - N/A
Page 37 - N/A
Page 38 - PART II
Page 39 - STOCK PERFORMANCE GRAPH
Page 40 - DIVIDEND POLICY
Page 41 - N/A
Page 42 - N/A
Page 43 - The following discussion and analysis of our financial condition and results of operations should be
Page 44 - Description of Our Revenues, Costs and Expenses
Page 45 - Operating Expense
Page 46 - Product Revenues
Page 47 - Accounting for Uncertainty in Income Taxes
Page 48 - Goodwill and Other Intangible Assets
Page 49 - Results of Operations
Page 50 - Cost of Revenues
Page 51 - Year Ended December 31, 2007 Compared to Year Ended December 31, 2006
Page 52 - Operating Expense
Page 53 - Discussion of Cash Flows
Page 54 - Capital Expenditures
Page 55 - Off-Balance Sheet Arrangements
Page 56 - Index to Consolidated Financial Statements
Page 57 - REPORT OF INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM
Page 58 - CONSOLIDATED BALANCE SHEETS
Page 59 - CONSOLIDATED STATEMENTS OF OPERATIONS
Page 60 - CONSOLIDATED STATEMENTS OF CHANGES IN STOCKHOLDERS EQUITY (DEFICIT)
Page 61 - CONSOLIDATED STATEMENTS OF CASH FLOWS
Page 62 - NOTES TO CONSOLIDATED FINANCIAL STATEMENTS
Page 63 - Intellectual Property License Revenues
Page 64 - Allowance for Uncollectible Receivables
Page 65 - Research and Development
Page 66 - Advertising
Page 67 - Business Combinations
Page 68 - N/A
Page 69 - Working Capital Facility
Page 70 - 7. Income Taxes
Page 71 - N/A
Page 72 - Common Stock
Page 73 - N/A
Page 74 - Obligation Under Operating Leases
Page 75 - New Facility Lease
Page 76 - Royalty Agreement
Page 77 - N/A
Page 78 - N/A
Page 79 - Evaluation of Disclosure Controls and Procedures
Page 80 - 2009 Senior Management Incentive Compensation Plan
Page 81 - PART III
Page 82 - N/A
Page 83 - PART IV
Page 84 - Luna Innovations Incorporated
Page 85 - EXHIBIT INDEX
Page 86 - N/A
Page 87 - N/A
Page 88 - N/A
Page 89 - SIGNATURES
Subdocument 2 - EX-10.36
Page 1 - Exhibit 10.36
Page 2 - Interest Rate
Page 3 - 2.4 Section 6.7 (Financial Covenants).
Page 4 - 2.7 Section 13 (Definitions).
Page 5 - 4. Representations and Warranties.
Page 6 - N/A
Page 7 - IN WITNESS WHEREOF,
Page 8 - Schedule 1
Page 9 - Patents
Page 10 - N/A
Page 11 - N/A
Page 12 - EXHIBIT A
Page 13 - EXHIBIT B
Page 14 - N/A
Page 15 - N/A
Page 16 - N/A
Page 17 - N/A
Page 18 - N/A
Page 19 - N/A
Page 20 - N/A
Page 21 - N/A
Page 22 - EXHIBIT C
Page 23 - EXHIBIT D
Page 24 - Schedule 2
Page 25 - Patents
Page 26 - N/A
Page 27 - N/A
Page 28 - EXHIBIT A
Page 29 - EXHIBIT B
Page 30 - EXHIBIT C
Page 31 - EXHIBIT D
Page 32 - EXHIBIT A
Page 33 - EXHIBIT E
Page 34 - N/A
Page 35 - Schedule 1 to Compliance Certificate
Page 36 - EBITDA
Page 37 - Fixed Charge Coverage Ratio
Subdocument 3 - EX-10.37
Page 1 - Exhibit 10.37
Page 2 - TABLE OF CONTENTS
Page 3 - ARTICLE 1
Page 4 - Director
Page 5 - ARTICLE 4
Page 6 - Adjustment Provisions
Page 7 - Unforeseeable Emergency
Page 8 - ARTICLE 7
Page 9 - ARTICLE 10
Page 10 - APPENDIX I
Page 11 - N/A
Subdocument 4 - EX-10.38
Page 1 - Exhibit 10.38
Page 2 - Payment
Page 3 - ATTACHMENT (A)
Page 4 - ATTACHMENT (B)
Subdocument 5 - EX-21.1
Page 1 - Exhibit 21.1
Subdocument 6 - EX-23.1
Page 1 - Exhibit 23.1
Subdocument 7 - EX-31.1
Page 1 - Exhibit 31.1
Subdocument 8 - EX-31.2
Page 1 - Exhibit 31.2
Subdocument 9 - EX-32.1
Page 1 - Exhibit 32.1
Subdocument 10 - EX-32.2
Page 1 - Exhibit 32.2