LightPath CEO gains 29,011 shares via RSUs

LightPath Technologies’ President & CEO Rubin Shmuel reported an equity award vesting.

Accepted by SEC EDGAR 02/04/2026 - 04:32 PM EST Learn about SEC filing dates

Rhea-AI Filing Summary

LightPath Technologies’ President & CEO Rubin Shmuel reported an equity award vesting. On 02/02/2026, 29,011 shares of Class A Common Stock were acquired at a price of $0.00 per share through the settlement of restricted stock units on a one-for-one basis.

After this transaction, Shmuel directly owned 260,664 Class A Common shares. Some of the vested shares were withheld to cover the employee’s share of payroll taxes, meaning the full 29,011 shares did not all translate into an increase in freely held stock.

Insider Trade Summary

Exercise: 29,011 shares

Exercise 1 txn

Insider Rubin Shmuel

Role President & CEO

Type	Security	Shares	Price	Value
Exercise	Class A Common Stock	29,011	$0.00	$0.00

Holdings After Transaction: Class A Common Stock — 260,664 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.

FAQ

AI-generated questions and answers. How Rhea-AI works. Not financial advice.

What insider transaction did LPTH CEO Rubin Shmuel report on this Form 4?

Rubin Shmuel reported the vesting of 29,011 restricted stock units into Class A Common Stock on 02/02/2026. The shares were acquired at $0.00 per share as part of his compensation, with some withheld to cover his share of payroll taxes.

How many LightPath Technologies (LPTH) shares does the CEO own after this transaction?

Following the 02/02/2026 vesting, CEO Rubin Shmuel directly owned 260,664 shares of LightPath Technologies Class A Common Stock. This figure reflects his beneficial ownership after restricted stock units converted into shares and after share withholding for payroll tax obligations.

What is the significance of the $0.00 price for the 29,011 LPTH shares acquired?

The $0.00 price indicates these 29,011 shares were received through restricted stock units vesting, not an open-market purchase. They represent equity compensation converting into Class A Common Stock rather than a cash-funded transaction, consistent with standard executive stock-based incentive arrangements.

Did the LPTH CEO sell any shares in this reported Form 4 transaction?

The filing shows an acquisition of 29,011 Class A Common shares from restricted stock unit vesting, coded as transaction type M. The footnote states shares were withheld to cover the employee’s payroll taxes, rather than reflecting an open-market sale of stock.

What does the footnote about restricted stock units mean for LPTH investors?

The footnote explains that restricted stock units vested and converted one-for-one into Class A Common Stock. It also notes that a portion of the shares was withheld for payroll taxes, clarifying why not all vested units increased the CEO’s freely held share count.

Is this LPTH Form 4 transaction considered a direct or indirect holding for the CEO?

After the 02/02/2026 transaction, the 260,664 Class A Common shares are reported as directly owned by CEO Rubin Shmuel. The Form 4 lists the ownership form as “D” for direct, with no indication of holding through a separate entity or trust.

AI-generated analysis. How Rhea-AI works. Not financial advice.

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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^*

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)

	Director		10% Owner
X	Officer (give title below)		Other (specify below)
	President & CEO

3. Date of Earliest Transaction (Month/Day/Year)
02/02/2026

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	02/02/2026		M		29,011	A	(1)	260,664	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	02/04/2026
	** 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).
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