LPTH insider filing shows new RSU awards and stock settlement

Rhea-AI Filing Summary

LightPath Technologies (LPTH) filed a Form 4 reporting equity compensation activity by its Chief Financial Officer. On 11/20/2025, 4,137 Class A common shares were acquired following the vesting and settlement of previously granted restricted stock units, with shares withheld to cover the employee’s payroll taxes. Following this transaction, the officer beneficially owned 66,732 Class A common shares.

The filing also reports restricted stock unit awards. On 03/07/2025, 16,407 restricted stock units were granted, each representing a right to receive one Class A common share, vesting in three equal tranches on November 20, 2025, 2026 and 2027. On 11/18/2025, an additional 5,697 restricted stock units were granted, vesting equally over three years starting November 18, 2026.

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

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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^*

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)
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		4,137	A	(1)	66,732	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		16,407		(3)	(3)	Class A common stock	16,407	(2)	16,407	D
Restricted stock units	(2)	11/18/2025		A		5,697		(4)	(4)	Class A common stock	5,697	(2)	5,697	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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FAQ

What did LPTH disclose in this Form 4 filing?

LPTH disclosed that its Chief Financial Officer acquired 4,137 shares of Class A common stock upon vesting of restricted stock units and reported new restricted stock unit awards.

How many LPTH common shares does the CFO own after the reported transactions?

After the reported transaction, the Chief Financial Officer beneficially owned 66,732 shares of LPTH Class A common stock.

What restricted stock units were granted to the LPTH CFO on March 7, 2025?

On 03/07/2025, the CFO received 16,407 restricted stock units, each convertible into one share of LPTH Class A common stock, vesting equally on November 20, 2025, 2026 and 2027.

What restricted stock units were granted to the LPTH CFO on November 18, 2025?

On 11/18/2025, the CFO was granted 5,697 restricted stock units, which vest equally over three years beginning on November 18, 2026.

How were taxes handled on the vested LPTH restricted stock units?

When restricted stock units were settled into LPTH Class A common stock, shares were withheld to cover the employee's share of payroll taxes.

What does each LPTH restricted stock unit represent in this filing?

Each restricted stock unit reported in the filing represents a contingent right to receive one share of LPTH Class A common stock upon vesting.