SEC Form 4 · accession 0001654954-17-010111
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
Nov 6, 2017
Accepted (ET)
Nov 7, 2017 · 10:35 am EST
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 | Nov 6, 2017 | M | 15,000 | $3.05 | A | 107,709 | D |
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 | $3.05 | Nov 6, 2017 | M | 15,000 | D | — | Nov 6, 2017 | Class A common stock | 15,000 | 0 | D |
Explanation of responses
- F1This stock option was issued on 11/6/2007 and vested 25% per year for four years.