SEC Form 4 · accession 0001654954-18-006795
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
Jun 20, 2018
Accepted (ET)
Jun 20, 2018 · 4:39 pm 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 | Jun 20, 2018 | M | 20,000 | $0.98 | A | 168,987 | 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 | $0.98 | Jun 20, 2018 | M | 20,000 | D | — | Oct 25, 2022 | Class A common stock | 20,000 | 20,000 | D |
Explanation of responses
- F1The incentive stock option was granted on October 25, 2012 and vested 25% per year for the first four years.