LPTH Form 4: CFO Now Holds 62,595 Shares After RSU Vesting

Rhea-AI Filing Summary

LightPath Technologies (LPTH) reported an insider equity transaction by its Chief Financial Officer on a Form 4. On 11/17/2025, restricted stock units were settled into 7,359 shares of Class A common stock on a one-for-one basis upon vesting. The filing notes that some shares were withheld to cover the employee's share of payroll taxes, a common practice in equity compensation. After this transaction, the reporting person beneficially owned 62,595 shares of Class A common stock directly.

Insider Trade Summary

Net Buyer: 7,359 shares

Net Buy 1 txn

Insider Miranda Albert

Role Chief Financial Officer

Type	Security	Shares	Price	Value
Exercise	Class A common stock	7,359	$0.00	$0.00

Holdings After Transaction: Class A common stock — 62,595 shares (Direct)

Footnotes (1)

1. F1. 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.

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Form 4 Insider Transactions: What Each Field Means →

Accepted by SEC EDGAR 11/18/2025 - 04:32 PM Learn about SEC filing dates

FAQ

What insider transaction did LightPath Technologies (LPTH) report on this Form 4?

The filing reports that the Chief Financial Officer of LightPath Technologies (LPTH) had restricted stock units settle into 7,359 shares of Class A common stock on 11/17/2025.

Who is the reporting person in the LPTH Form 4 and what is their role?

The reporting person is an officer of LightPath Technologies Inc. serving as the company's Chief Financial Officer, as indicated in the relationship section of the form.

How many LPTH shares does the CFO beneficially own after the reported transaction?

Following the reported equity settlement, the CFO beneficially owned 62,595 shares of LightPath Technologies Class A common stock directly.

What type of security was involved in the LPTH CFO’s transaction?

The transaction involved the settlement of restricted stock units into Class A common stock of LightPath Technologies Inc. on a one-for-one basis upon vesting.

Why were some LPTH shares withheld in this Form 4 transaction?

The explanation states that shares were withheld to cover the employee's share of payroll taxes, which is a standard mechanism when equity awards vest.

What transaction code is used in the LPTH Form 4 for this equity settlement?

The transaction is coded as M in Table I, which indicates an exercise or conversion of a derivative security, here reflecting the vesting and settlement of restricted stock units into common stock.

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

OMB Number:			3235-0287
Estimated average burden
hours per response:			0.5

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^*

Miranda Albert

(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)

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

3. Date of Earliest Transaction (Month/Day/Year)
11/17/2025

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	11/17/2025		M		7,359	A	(1)	62,595	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

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.

	/s/ Natalie King, attorney-in-fact	11/18/2025
	** Signature of Reporting Person	Date
Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly.
* If the form is filed by more than one reporting person, see Instruction 4 (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).
Note: File three copies of this Form, one of which must be manually signed. If space is insufficient, see Instruction 6 for procedure.
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 Number.