SEC Form 4 · accession 0001654954-18-011695
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 26, 2018
Accepted (ET)
Oct 30, 2018 · 9:09 am 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 StockF1 | Oct 26, 2018 | M | 8,451 | — | A | 180,598 | D | |
| Class A Common Stock | Oct 26, 2018 | F | 2,058 | $1.82 | D | 178,540 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Restricted stock unitF1,F2 | — | Oct 26, 2018 | M | 8,451 | D | — | — | Class A Common Stock | 8,451 | 16,903 | D |
Explanation of responses
- F1Restricted stock units convert into Class A Common Stock on a one-for-one basis.
- F2Vesting in three equal installments beginning on the first anniversary of the grant date.