Form 4 for LPTH LIGHTPATH TECHNOLOGIES INC
Accepted 2026-03-04 00:00:00 ET · period of report 2026-03-02 · accession 0001437749-26-006959 · SEC index · Original document
Summary rows
Aggregated the way they appear in lists: one row per insider, transaction code and security table.
| X | Filed | Traded | Ticker | Insider | Title | Type | Price | Qty | Owned | ΔOwn | Value |
|---|---|---|---|---|---|---|---|---|---|---|---|
| DMI | 2026-03-04 | 2026-03-02+ | LPTH | ELLIS THOMAS B | Dir, Member | S - Sale | $12.12 | -675.0K | 3.02M | -18% | -$8.18M |
| DI | 2026-03-04 | 2026-03-02 | LPTH | ELLIS THOMAS B | Dir, Member | C - Cnv Deriv | $2.15 | +740.0K | 3.70M | +25% | +$1.59M |
| DI | 2026-03-04 | 2026-03-02 | LPTH | ELLIS THOMAS B | Dir, Member | C - Cnv Deriv | $0.00 | -1,591 | 15.7K | -9% | $0 |
Purchase Sale Sale after option exercise All abbreviations
Every reported transaction
| # | Table | Security | Date | Code | A/D | Shares | Price | Owned after | Own | Exercise / expiry | Underlying | Footnotes |
|---|---|---|---|---|---|---|---|---|---|---|---|---|
| 1 | Common | Class A Common Stock | 2026-03-02 | S | D | 238,991 | $12.03 | 3,456,531 | I See footnote | — | — | (F2) The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $12.0002 to $12.1608, inclusive. The reporting person undertakes to provide to the issuer, any security holder of the issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the ranges set forth in footnotes (2) through (4) to this Form 4. (F1) The reported securities are directly held by North Run Strategic Opportunities Fund I, LP, and may be deemed to be indirectly beneficially owned by North Run Strategic Opportunities Fund I GP, LLC as the general partner of North Run Strategic Opportunities Fund I, LP. The reported securities may also be deemed to be indirectly beneficially owned by Thomas B. Ellis and Todd B. Hammer as members of North Run Strategic Opportunities Fund I GP, LLC. |
| 2 | Common | Class A Common Stock | 2026-03-02 | C | A | 740,000 | $2.15 | 3,695,522 | I See footnote | — | — | (F1) The reported securities are directly held by North Run Strategic Opportunities Fund I, LP, and may be deemed to be indirectly beneficially owned by North Run Strategic Opportunities Fund I GP, LLC as the general partner of North Run Strategic Opportunities Fund I, LP. The reported securities may also be deemed to be indirectly beneficially owned by Thomas B. Ellis and Todd B. Hammer as members of North Run Strategic Opportunities Fund I GP, LLC. |
| 3 | Common | Class A Common Stock | 2026-03-03 | S | D | 381,004 | $12.18 | 3,075,527 | I See footnote | — | — | (F3) The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $12.00 to $12.30, inclusive. (F1) The reported securities are directly held by North Run Strategic Opportunities Fund I, LP, and may be deemed to be indirectly beneficially owned by North Run Strategic Opportunities Fund I GP, LLC as the general partner of North Run Strategic Opportunities Fund I, LP. The reported securities may also be deemed to be indirectly beneficially owned by Thomas B. Ellis and Todd B. Hammer as members of North Run Strategic Opportunities Fund I GP, LLC. |
| 4 | Common | Class A Common Stock | 2026-03-04 | S | D | 55,000 | $12.09 | 3,020,527 | I See footnote | — | — | (F4) The price reported in Column 4 isa weighted average price. These shares were sold in multiple transactions at prices ranging from $12.02 to $12.164 inclusive. (F1) The reported securities are directly held by North Run Strategic Opportunities Fund I, LP, and may be deemed to be indirectly beneficially owned by North Run Strategic Opportunities Fund I GP, LLC as the general partner of North Run Strategic Opportunities Fund I, LP. The reported securities may also be deemed to be indirectly beneficially owned by Thomas B. Ellis and Todd B. Hammer as members of North Run Strategic Opportunities Fund I GP, LLC. |
| 5 | Derivative | Series G Convertible Preferred Stock | 2026-03-02 | C | D | 1,591 | $0.00 | 15,726.60 | I See footnote | $2.15 · 2025-02-18 to — | 740,000 Class A Common Stock | (F1) The reported securities are directly held by North Run Strategic Opportunities Fund I, LP, and may be deemed to be indirectly beneficially owned by North Run Strategic Opportunities Fund I GP, LLC as the general partner of North Run Strategic Opportunities Fund I, LP. The reported securities may also be deemed to be indirectly beneficially owned by Thomas B. Ellis and Todd B. Hammer as members of North Run Strategic Opportunities Fund I GP, LLC. (F5) The preferred stock is perpetual and therefore has no expiration date. |