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LIGHTPATH TECHNOLOGIES INC — Director's Dealing 2007
Nov 9, 2007
33165_dirs_2007-11-09_3b2e494a-e473-4f72-9ba4-35b6af7fcdd2.zip
Director's Dealing
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SEC Form 4 — Statement of Changes in Beneficial Ownership
Issuer: LIGHTPATH TECHNOLOGIES INC (LPTH)
CIK: 0000889971
Period of Report: 2007-11-06
Reporting Person: RIPP ROBERT (Director)
Derivative Transactions
| Date | Security | Exercise Price | Code | Shares | A/D | Expiration | Underlying | Ownership |
|---|---|---|---|---|---|---|---|---|
| 2007-11-06 | Restricked Stock Unit | $0 | A | 10000 | Acquired | 2017-11-06 | Class A Common (10000) | Direct |
Holdings (Non-Derivative)
| Security | Shares | Ownership |
|---|---|---|
| Class A Common | 142863 | Direct |
| Class A Common | 7812 | Indirect |
Holdings (Derivative)
| Security | Exercise Price | Expiration | Underlying | Shares | Ownership |
|---|---|---|---|---|---|
| Common Stock Warrant (Right to buy) | $3.2 | 2013-09-30 | Class A Common (100000) | 0 | Direct |
| Common Stock Warrant (Right to buy) | $48 | 2009-11-10 | Class A Common (20156) | 0 | Direct |
| Common Stock Warrant (Right to buy) | $48 | 2009-11-10 | Class A Common (15000) | 0 | Direct |
| Restricted Stock Unit | $0 | 2014-10-20 | Class A Common (6000) | 0 | Direct |
| Restricted Stock Unit | $0 | 2014-10-20 | Class A Common (2850) | 0 | Direct |
| Restricted Stock Unit | $0 | 2014-10-20 | Class A Common (2850) | 0 | Direct |
| Non-qualified stock option | $2.41 | 2015-11-10 | Class A Common (2033) | 0 | Direct |
| Non-qualified stock option | $2.41 | 2015-11-10 | Class A Common (2033) | 0 | Direct |
| Non-qualified stock option | $2.41 | 2015-11-10 | Class A Common (2034) | 0 | Direct |
| Restricted Stock Unit | $0 | 2015-11-10 | Class A Common (3333) | 0 | Direct |
| Restricted Stock Unit | $0 | 2015-11-10 | Class A Common (3333) | 0 | Direct |
| Restricted Stock Unit | $0 | 2015-11-10 | Class A Common (3334) | 0 | Direct |
| Restricted Stock Unit | $0 | 2016-10-27 | Class A Common (3333) | 0 | Direct |
| Restricted Stock Unit | $0 | 2016-10-27 | Class A Common (3333) | 0 | Direct |
| Restricted Stock Unit | $0 | 2016-10-27 | Class A Common (3333) | 0 | Direct |
Footnotes
F1: The reporting person declaim beneficial ownership of these securities, and this report shall not be deemed an admission that the reporting person is the beneficial owner of the Securities for purposes of Section 16 or any other purpose
F2: Restricted stock units convert at a 1-to-1 ratio to Class A Common
F3: The Reporting person shall be eligible to electively receive one share of Class A Common for each restricted stock unit at this date subject to continued employment
F4: Granted as vested in lieu of grant in prior year
F5: These shares vest over four years.