SEC Form 3 · accession 0001209191-15-036474
LIGHTPATH TECHNOLOGIES INC · LPTH
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Xudong Zhu
Director · 10% Owner
Period of report
Apr 28, 2015
Accepted (ET)
Apr 28, 2015 · 10:28 am EDT
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0000889971
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Class A Common Stock, par value $0.01 per shareF1 | holding | — | — | — | 2,270,026 | I | By Pudong Science and Technology Investment (Caymen) Co., Ltd. |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1These shares of common stock are held by Pudong Science and Technology Investment (Cayman) Co., Ltd. ("Pudong Cayman"), a direct wholly-owned subsidiary of Shanghai Pudong Science and Technology Investment Co., Ltd. Dr. Zhu is the sole director of Pudong Cayman. Dr. Zhu expressly disclaims beneficial ownership of such securities held by Pudong Cayman.