[Form 4] SYNTEC OPTICS HOLDINGS, INC. Insider Trading Activity

Rhea-AI Filing Summary

SYNTEC OPTICS HOLDINGS, INC. (OPTX) Form 4 shows Director Brent D. Rosenthal is the beneficial owner of 77,320 Restricted Stock Units (RSUs) that represent the right to receive one Class A common share per unit at a strike/issue price of $1.94. The RSUs are reported as fully vested and the shares have been provided to the transfer agent but remain subject to transfer and trading policy restrictions. The filing identifies the reporting person as a director and is recorded on 10/06/2025.

Positive

• Director ownership alignment: 77,320 RSUs vested, increasing the director's direct equity stake
• Fully vested grant: Units are reported as fully vested, with shares provided to the transfer agent

Negative

• None.

Insights

Corporate Governance Analyst

Insider ownership increased via vested RSUs, aligning director incentives with shareholders.

The report documents 77,320 RSUs convertible to Class A common shares at $1.94, and states they are fully vested and held directly by the reporting director. This creates direct equity exposure for the director, which typically aligns management and board incentives with long‑term shareholder value.

Key dependencies include the transfer and trading policy restrictions noted and the conversion mechanics tied to the RSUs. Investors can monitor outstanding share count changes when the RSUs are settled to assess dilution over the near term.

Executive Compensation Specialist

A sizeable single grant of RSUs was vested and transferred to the transfer agent, signaling compensation realization.

The filing explicitly states each RSU equals one share and the units are fully vested, indicating the director has satisfied vesting conditions and the company executed settlement steps with the transfer agent. The $1.94 per‑share conversion reference defines the accounting/recording basis for the award.

Monitor timing of actual share issuance and any lock‑up or sale restrictions under the trading policy; these determine when the director may convert ownership into tradable shares within the next 12 months.

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^*

Rosenthal Brent D

(Last) (First) (Middle)

C/O SYNTEC OPTICS HOLDINGS, INC.

515 LEE RD.

(Street)

ROCHESTER NY 14606

(City) (State) (Zip)

2. Issuer Name and Ticker or Trading Symbol
SYNTEC OPTICS HOLDINGS, INC. [ OPTX ]

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)
12/20/2024

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)	10/06/2025		A		77,320		(1)	(1)	CLA	77,320	(1)	77,320	D

Explanation of Responses:

1. Each Restricted Stock Unit represents a contingent right to receive one Syntec Optics Holdings, Inc. Class A common share at $1.94. Fully vested. The shares provided to the transfer agent; subject to restrictions on transfer and trading policy.

	/s/ Rosenthal Brent D	10/06/2025
	** 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

What did Brent D. Rosenthal report on the Form 4 for OPTX?

The Form 4 reports that Director Brent D. Rosenthal is the beneficial owner of 77,320 Restricted Stock Units convertible to Class A shares at $1.94, reported as fully vested on 10/06/2025.

Are the RSUs immediately transferable or tradable according to the filing?

The filing states the shares were provided to the transfer agent but remain subject to the company's transfer and trading policy restrictions, so they are not necessarily freely tradable.

How many shares does each RSU convert into for OPTX?

Each Restricted Stock Unit represents the contingent right to receive one Class A common share.

What is the per‑share price tied to the RSUs reported on OPTX Form 4?

The RSUs are reported with a conversion reference price of $1.94 per share.

What is the reporting person's relationship to OPTX?

The reporting person, Brent D. Rosenthal, is listed as a Director of the company.