UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549INITIAL STATEMENT OF BENEFICIAL OWNERSHIP OF SECURITIES Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934, Section 17(a) of the Public Utility Holding Company Act of 1935 or Section 30(h) of the Investment Company Act of 1940 |
|
| ||||||||||||||||||||||||||||||
|
Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. | SEC 1473 (7-02) | ||
Persons who respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB control number. |
1. Title of Derivative Security (Instr. 4) |
2. Date Exercisable and Expiration Date (Month/Day/Year) |
3. Title and Amount of Securities Underlying Derivative Security (Instr. 4) |
4. Conversion or Exercise Price of Derivative Security | 5. Ownership Form of Derivative Security: Direct (D) or Indirect (I) (Instr. 5) |
6. Nature of Indirect Beneficial Ownership (Instr. 5) |
||
Date Exercisable | Expiration Date | Title | Amount or Number of Shares | ||||
Restricted stock units | 10/29/2016 | Â (1) | Class A common stock | 33,785 | $ 0 (2) | D | Â |
Restricted stock units | 10/30/2015 | Â (3) | Class A common stock | 36,500 | $ 0 (2) | D | Â |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
Dunham Craig T LIGHTPATH TECHNOLOGIES, INC. 2603 CHALLENGER TECH CT, SUITE 100 ORLANDO, FL 32826 |
 X |  |  |  |
/s/Dorothy M Cipolla, attorney-in-fact | 05/03/2016 | |
**Signature of Reporting Person | Date |
* | If the form is filed by more than one reporting person, see Instruction 5(b)(v). |
** | Intentional misstatements or omissions of facts constitute Federal Criminal Violations. See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a). |
(1) | The restricted stock units vest equally over a three-year period beginning on October 29, 2016. Mr. Dunham has elected to defer receipt of the shares until he is no longer on the board of directors. Any unvested restricted stock units will immediately vest upon Mr. Dunham leaving the board. |
(2) | Each restricted stock unit represents a contingent right to receive one share of Class A common stock. |
(3) | The restricted stock units vest equally over a three-year period beginning on October 30, 2015. Mr. Dunham has elected to defer receipt of the shares until he is no longer on the board of directors. Any unvested restricted stock units will immediately vest upon Mr. Dunham leaving the board. |