SEC Form 4 · accession 0001354488-15-004780
LIGHTPATH TECHNOLOGIES INC · LPTH
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Alan Symmons
Officer — Executive VP- Operations
Period of report
Oct 29, 2015
Accepted (ET)
Oct 30, 2015 · 4:30 pm EDT
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0000889971
Table I — non-derivative securities
No Table I lines on this filing.
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Incentive stock option (right to buy)F1 | $1.48 | Oct 29, 2015 | A | 7,000 | A | Oct 29, 2016 | Oct 29, 2025 | Class A Common Stock | 7,000 | 7,000 | D |
| Incentice stock option (right-to-buy)F2 | $1.48 | Oct 29, 2015 | A | 29,762 | A | Oct 29, 2015 | Oct 29, 2025 | Class A Common Stock | 29,762 | 29,762 | D |
Explanation of responses
- F1The Incentive Stock Option vests in four equal annual installments beginning on October 29, 2016.
- F2The Incentive Stock Option was granted to the reporting person in satisfaction of certain performance criteria being met for the fiscal year ended June 30, 2015. The incentive stock option became exercisable with respect to all shares underlying the option on October 29, 2015, the grant date.