SEC Form 4 · accession 0001437749-26-019612
LIGHTPATH TECHNOLOGIES INC · LPTH
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owners
Thomas B Ellis
Director
Todd B Hammer
Other
North Run Strategic Opportunities Fund I, LP
Director · 10% Owner
Period of report
Jun 2, 2026
Accepted (ET)
Jun 4, 2026 · 7:10 pm EDT
Rule 10b5-1 plan
box not checked
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 StockF2 | Jun 2, 2026 | C | 3,571,400 | $2.15 | A | 6,506,228 | I | See footnote |
| Class A Common StockF2 | Jun 3, 2026 | S | 3,571,400 | $14.00 | D | 2,934,828 | I | See footnote |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Series G Convertible Preferred StockF2,F4 | $2.15 | Jun 2, 2026 | C | 7,679 | D | Feb 18, 2025 | — | Class A Common Stock | 3,571,400 | 6,493 | I |
Explanation of responses
- F1On June 2, 2026, the reporting persons converted 7,678.51 shares of the Issuer's Series G Convertible Preferred Stock into 3,571,400 shares of Class A Common Stock at a conversion price of $2.15 per share. No cash consideration was paid in connection with the conversion.
- F2The reported securities are directly held by North Run Strategic Opportunities Fund I, LP, and may be deemed to be indirectly beneficially owned by North Run Strategic Opportunities Fund I GP, LLC as the general partner of North Run Strategic Opportunities Fund I, LP. The reported securities may also be deemed to be indirectly beneficially owned by Thomas B. Ellis and Todd B. Hammer as members of North Run Strategic Opportunities Fund I GP, LLC.
- F3On June 3, 2026, North Run Strategic Opportunities Fund I, LP sold 3,571,400 shares of Class A Common Stock in a registered secondary offering at a price of $14.00 per share.
- F4The preferred stock is perpetual and therefore has no expiration date.