SEC Form 4 · accession 0001354488-16-008443
LIGHTPATH TECHNOLOGIES INC · LPTH
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Joseph J Gaynor Jr.
Officer — President and CEO · Director
Period of report
Oct 27, 2016
Accepted (ET)
Nov 2, 2016 · 2:37 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 optionF1 | $1.55 | Oct 27, 2016 | A | 117,108 | A | Oct 27, 2016 | Oct 27, 2026 | Class A common stock | 117,108 | 117,108 | D |
| Incentive stock optionF2 | $1.78 | Oct 27, 2016 | A | 60,870 | A | Oct 27, 2017 | Oct 27, 2026 | Class A common stock | 60,870 | 60,870 | D |
Explanation of responses
- F1The Incentive Stock Option was granted to the reporting person in satisfaction of certain performance criteria being met for the fiscal year ended June 30, 2016. The incentive stock option became exercisable with respect to all shares underlying the option on October 27, 2016, the grant date.
- 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, 2016. The incentive stock option vests in four equal installments beginning on October 27, 2017.