LightPath (LPTH) Form 4: Darcie Peck Granted 19.3K RSUs

Rhea-AI Filing Summary

LightPath Technologies (LPTH) Form 4: Director Darcie Peck received 19,355 restricted stock units (RSUs) on 06/16/2025, reported under code “A” (acquisition). Each RSU corresponds to one share of Class A common stock. The award vests on 11/20/2025, with accelerated vesting if the director leaves the board, and may be deferred at the director’s election. After the grant, Peck now beneficially owns 63,151 RSUs. No open-market buys or sells were disclosed, indicating a routine equity-compensation grant that modestly increases insider alignment.

Positive

• Director acquired 19,355 RSUs, increasing total ownership to 63,151 units, modestly aligning insider interests with shareholders.

Negative

• None.

Insights

Financial Analyst

TL;DR: Routine RSU grant; neutral market impact, modest insider alignment.

The Form 4 shows an equity-based compensation award rather than an open-market purchase or disposal. While the 19,355 RSUs increase Darcie Peck’s stake to 63,151 units, the grant is scheduled and carries no cash outlay, so dilution is immaterial. Such director awards are standard practice and do not typically signal changes in fundamentals or outlook. Investors may view the larger holding as slightly positive for alignment, but trading liquidity and earnings prospects remain unaffected.

Corporate Governance Expert

TL;DR: Standard board compensation; enhances alignment, negligible governance risk.

The grant follows customary board-compensation policies, vesting in November 2025 with immediate vesting on board departure—common for director retention. No 10b5-1 plan is indicated. The absence of sales or pledges reduces potential conflicts. Overall, the filing maintains good governance practices without introducing material risk or benefit to shareholders.

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
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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^*

Peck Darcie

(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
	Officer (give title below)		Other (specify below)

3. Date of Earliest Transaction (Month/Day/Year)
06/16/2025

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

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	(1)	06/16/2025		A		19,355		(2)	(2)	Class A common stock	19,355	(1)	63,151	D

Explanation of Responses:

1. Each restricted stock unit represents a contingent right to receive one share of Class A common stock.

2. The restricted stock units vest November 20, 2025. 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.

	/s/ Natalie N. Cockayne attorney-in-fact	06/18/2025
	** 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.

FAQ

How many LightPath Technologies (LPTH) RSUs did Director Darcie Peck receive?

19,355 restricted stock units were granted on 06/16/2025.

When do the newly granted RSUs to Darcie Peck vest?

They vest on November 20, 2025, or immediately if the director leaves the board.

What is Darcie Peck’s total RSU ownership after the transaction?

After the grant, she beneficially owns 63,151 RSUs.

Was there any open-market purchase or sale of LPTH shares in this Form 4?

No; the filing only reports an equity compensation grant with no open-market activity.