LightPath Technologies CEO discloses new RSU grants and stock

Rhea-AI Filing Summary

LightPath Technologies (LPTH) Chief Executive Officer and Director reported several equity transactions in company stock. On November 20, 2025, 9,529 shares of Class A common stock were acquired following the vesting of restricted stock units, increasing direct beneficial ownership to 254,202 shares. The filing notes that shares were withheld to cover the employee’s payroll taxes.

The executive was also granted 37,793 restricted stock units on March 7, 2025 and 13,127 restricted stock units on November 18, 2025. Each unit represents a right to receive one share of Class A common stock, with the awards vesting over multi-year schedules extending through 2027.

SEC Form 4

FORM 4

UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549

STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP

Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934
or Section 30(h) of the Investment Company Act of 1940

OMB APPROVAL

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Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b).

Check this box to indicate that a transaction was made pursuant to a contract, instruction or written plan for the purchase or sale of equity securities of the issuer that is intended to satisfy the affirmative defense conditions of Rule 10b5-1(c). See Instruction 10.

1. Name and Address of Reporting Person^*

Rubin Shmuel

(Last) (First) (Middle)

2603 CHALLENGER TECH COURT

SUITE 100

(Street)

ORLANDO FL 32826

(City) (State) (Zip)

2. Issuer Name and Ticker or Trading Symbol
LIGHTPATH TECHNOLOGIES INC [ LPTH ]

5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)

X	Director		10% Owner
X	Officer (give title below)		Other (specify below)
	Chief Executive Officer

3. Date of Earliest Transaction (Month/Day/Year)
03/07/2025

4. If Amendment, Date of Original Filed (Month/Day/Year)

6. Individual or Joint/Group Filing (Check Applicable Line)

X	Form filed by One Reporting Person
	Form filed by More than One Reporting Person

Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
1. Title of Security (Instr. 3)	2. Transaction Date (Month/Day/Year)	2A. Deemed Execution Date, if any (Month/Day/Year)	3. Transaction Code (Instr. 8)		4. Securities Acquired (A) or Disposed Of (D) (Instr. 3, 4 and 5)			5. Amount of Securities Beneficially Owned Following Reported Transaction(s) (Instr. 3 and 4)	6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4)	7. Nature of Indirect Beneficial Ownership (Instr. 4)
			Code	V	Amount	(A) or (D)	Price
Class A common stock	11/20/2025		M		9,529	A	(1)	254,202	D

Table II - Derivative Securities Acquired, Disposed of, or Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities)
1. Title of Derivative Security (Instr. 3)	2. Conversion or Exercise Price of Derivative Security	3. Transaction Date (Month/Day/Year)	3A. Deemed Execution Date, if any (Month/Day/Year)	4. Transaction Code (Instr. 8)		5. Number of Derivative Securities Acquired (A) or Disposed of (D) (Instr. 3, 4 and 5)		6. Date Exercisable and Expiration Date (Month/Day/Year)		7. Title and Amount of Securities Underlying Derivative Security (Instr. 3 and 4)		8. Price of Derivative Security (Instr. 5)	9. Number of derivative Securities Beneficially Owned Following Reported Transaction(s) (Instr. 4)	10. Ownership Form: Direct (D) or Indirect (I) (Instr. 4)	11. Nature of Indirect Beneficial Ownership (Instr. 4)
				Code	V	(A)	(D)	Date Exercisable	Expiration Date	Title	Amount or Number of Shares
Restricted stock units	(2)	03/07/2025		A		37,793		(3)	(3)	Class A common stock	37,793	(2)	37,793	D
Restricted stock units	(2)	11/18/2025		A		13,127		(4)	(4)	Class A common stock	13,127	(2)	13,127	D

Explanation of Responses:

1. Restricted stock units were settled into Class A Common Stock on a one-for-one basis upon vesting. Shares were withheld to cover the employee's share of payroll taxes.

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 in three tranches, vesting on November 20, 2025, 2026 and 2027.

4. The restricted stock units vest equally over a three year period, with the first vesting on November 18, 2026.

	/s/ Natalie King, attorney-in-fact	11/21/2025
	** Signature of Reporting Person	Date
Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly.
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** Intentional misstatements or omissions of facts constitute Federal Criminal Violations See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a).
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FAQ

What insider transactions did LPTH's CEO report on this Form 4?

The CEO of LightPath Technologies (LPTH) reported acquiring 9,529 shares of Class A common stock on November 20, 2025 upon vesting of restricted stock units, and disclosed new restricted stock unit awards granted earlier in 2025.

How many LPTH shares does the reporting person own after these transactions?

Following the reported transactions, the reporting person beneficially owns 254,202 shares of LPTH Class A common stock in direct ownership.

What restricted stock unit awards did LPTH grant to the CEO in 2025?

The CEO received 37,793 restricted stock units on March 7, 2025 and 13,127 restricted stock units on November 18, 2025, each representing a contingent right to one share of Class A common stock.

What are the vesting terms of the 37,793 LPTH restricted stock units?

The 37,793 restricted stock units vest in three equal tranches on November 20, 2025, November 20, 2026, and November 20, 2027, after which vested units settle into Class A common stock.

What are the vesting terms of the 13,127 LPTH restricted stock units?

The 13,127 restricted stock units vest equally over a three-year period, with the first tranche vesting on November 18, 2026, and subsequent annual vesting dates thereafter.

How are LPTH restricted stock units settled for the reporting person?

Each restricted stock unit converts into one share of LPTH Class A common stock upon vesting. The filing states that shares were withheld to cover the employee’s share of payroll taxes upon settlement.