Form 4 for LPTH LIGHTPATH TECHNOLOGIES INC
Accepted 2025-11-21 00:00:00 ET · period of report 2025-11-18 · accession 0001654954-25-013386 · 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 |
|---|---|---|---|---|---|---|---|---|---|---|---|
| DI | 2025-11-21 | 2025-11-20 | LPTH | ELLIS THOMAS B | Dir, 10% | M - OptEx | — | +6,968 | 6,968 | New | — |
| DI | 2025-11-21 | 2025-11-18 | LPTH | ELLIS THOMAS B | Dir, 10% | A - Grant | — | +8,824 | 8,824 | New | — |
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 | 2025-11-20 | M | A | 6,968 | — | 6,968 | I See footnotes | — | — | (F1) Restricted stock units were settled into Class A Common Stock on a one-for-one basis upon vesting. (F3) The Reporting Person disclaims beneficial ownership of the reported securities except to the extent of his pecuniary interest therein, and this report shall not be deemed an admission of beneficial ownership of the securities for purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or for any other purpose. (F2) The reported securities are directly held by North Run Capital, LP, and may be deemed to be indirectly beneficially owned by North Run Advisors, LLC as the general partner of North Run Capital, LP. The reported securities may also be deemed to be indirectly beneficially owned by the Reporting Person as a member of North Run Advisors, LLC. |
| 2 | Derivative | Restricted stock units | 2025-11-18 | A | A | 8,824 | — | 8,824 | I See footnotes | — · — to — | 8,824 Class A common stock | (F4) Each restricted stock unit represents a contingent right to receive one share of Class A common stock. (F3) The Reporting Person disclaims beneficial ownership of the reported securities except to the extent of his pecuniary interest therein, and this report shall not be deemed an admission of beneficial ownership of the securities for purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or for any other purpose. (F2) The reported securities are directly held by North Run Capital, LP, and may be deemed to be indirectly beneficially owned by North Run Advisors, LLC as the general partner of North Run Capital, LP. The reported securities may also be deemed to be indirectly beneficially owned by the Reporting Person as a member of North Run Advisors, LLC. (F5) The restricted stock units vest one year from the grant date. Directors may elect to defer receipt of the shares to a future date. Any unvested restricted stock units will vest immediately upon the director leaving the board. |