SEC Form 4 · accession 0001654954-18-012867
LIGHTPATH TECHNOLOGIES INC · LPTH
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Sohail A Khan
Director
Period of report
Nov 15, 2018
Accepted (ET)
Nov 16, 2018 · 2:53 pm EST
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 |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Restricted stock unitF1,F2 | $0.00 | Nov 15, 2018 | A | 32,787 | A | Nov 15, 2019 | — | Class A common stock | 32,787 | 32,787 | D |
Explanation of responses
- F1Each restricted stock unit represents a contingent right to receive one share of Class A common stock.
- F2The restricted stock units vest equally over a three year period beginning on November 15, 2019. All directors have elected to defer receipt of the shares until they are no longer on the board. Any unvested restricted stock units will vest immediately upon the director leaving the board.