Syntec Optics CEO holds 73.6% after 1M-share gift

Chairman and CEO Al Kapoor reports gifting 1,000,000 OPTX shares to irrevocable trusts while retaining sole control over about 73.6% of Syntec Optics’ common stock.

Rhea-AI Filing Summary

SYNTEC OPTICS HOLDINGS, INC. (OPTX) received an amended Schedule 13D from its chairman and CEO, Al Kapoor, updating his beneficial ownership after a reported gift of shares. Kapoor now beneficially owns 29,631,090 shares of common stock, representing 73.56% of Syntec Optics’ outstanding common stock, based on 40,279,878 shares outstanding as reported in the company’s Form 10-Q filed August 10, 2026.

On September 18, 2026, Kapoor gifted 1,000,000 shares of Class A common stock to irrevocable trusts for which he does not exercise or share voting or investment control, and he disclaims beneficial ownership of those trust-held shares. He reports sole voting and dispositive power over his remaining 29,631,090 shares and no shared voting or dispositive power.

Key Figures

Beneficially owned shares: 29,631,090 shares Ownership percentage: 73.56% Shares outstanding: 40,279,878 shares +4 more

7 metrics

Beneficially owned shares 29,631,090 shares Common stock beneficially owned by Al Kapoor after the reported gift

Ownership percentage 73.56% Portion of Syntec Optics’ outstanding common stock beneficially owned by Al Kapoor

Shares outstanding 40,279,878 shares Syntec Optics common stock outstanding per Form 10-Q filed August 10, 2026

Gifted shares 1,000,000 shares Class A common shares gifted by Al Kapoor to irrevocable trusts on September 18, 2026

Shared voting power 0 shares Shares over which Al Kapoor reports shared voting power

Shared dispositive power 0 shares Shares over which Al Kapoor reports shared dispositive power

Date of reported gift September 18, 2026 Date of event requiring the amended Schedule 13D filing

Key Terms

beneficial ownership, sole dispositive power, irrevocable trusts, Schedule 13D, +1 more

5 terms

beneficial ownership financial

"The Reporting Person continues to beneficially own more than five percent of the class."

Beneficial ownership means the person or entity that actually enjoys the benefits of owning shares or other assets — such as receiving dividends, voting rights, or price gains — even if the legal title is held in another name. For investors it matters because knowing who truly controls and profits from a company reveals who can influence decisions, exposes potential conflicts of interest or hidden concentration of power, and affects transparency and risk in the stock.

sole dispositive power financial

"sole power to dispose or direct the disposition of, 29,631,090 shares of Common Stock."

Sole dispositive power is the exclusive legal authority to decide what happens to a security — for example, whether to sell, transfer, or retain shares — without needing anyone else’s permission. Investors care because it signals who truly controls the economic outcome of an investment: like holding the only key to a safe, the holder can realize gains or losses and may trigger regulatory reporting, insider rules, or influence over corporate ownership.

irrevocable trusts financial

"gift of shares of Syntec Optics Holdings, Inc. Class A Common Stock to irrevocable trusts"

Schedule 13D regulatory

"previously filed a statement on Schedule 13D to report the acquisition"

A Schedule 13D is a legal document that investors file with regulators when they buy a large enough stake in a company to potentially influence its management or decisions. It provides details about the investor’s intention, ownership stake, and plans, helping other investors understand who is gaining control and what their motives might be.

disclaims beneficial ownership financial

"The Reporting Person disclaims beneficial ownership of the securities held by the trust"

FAQ

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

What did OPTX chairman Al Kapoor change in this Schedule 13D/A filing?

He reported a gift of 1,000,000 Class A common shares of Syntec Optics to irrevocable trusts on September 18, 2026, and updated his beneficial ownership levels and voting/dispositive powers to reflect this transaction.

How many OPTX shares does Al Kapoor now beneficially own?

Al Kapoor now beneficially owns 29,631,090 shares of Syntec Optics common stock. This represents his holdings after accounting for the gifted 1,000,000 shares that are held in irrevocable trusts he does not control.

What percentage of SYNTEC OPTICS (OPTX) does Al Kapoor control after this amendment?

Following the reported gift, Al Kapoor’s beneficial ownership represents approximately 73.56% of Syntec Optics’ issued and outstanding common stock, based on 40,279,878 shares outstanding as disclosed in the company’s Form 10-Q filed August 10, 2026.

What voting and dispositive power does Al Kapoor report over OPTX shares?

He reports sole voting and sole dispositive power over 29,631,090 shares of Syntec Optics common stock, and zero shares over which he has shared voting or shared dispositive power.

How are the 1,000,000 OPTX shares gifted to trusts treated in this filing?

The 1,000,000 gifted Class A shares are held by irrevocable trusts for which Al Kapoor does not exercise or share voting or investment control. He disclaims beneficial ownership of these trust-held securities in the amendment.

Does Al Kapoor still own more than 5% of SYNTEC OPTICS (OPTX)?

Yes. The filing states that after the gift, Al Kapoor continues to beneficially own more than five percent of Syntec Optics’ common stock, specifically about 73.56% of the outstanding class.

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

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Available on EDGAR 09/21/2026 - 07:46 AM Accepted by SEC EDGAR 09/21/2026 - 07:45 AM Learn about SEC filing dates

SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549

SCHEDULE 13D

Under the Securities Exchange Act of 1934

(Amendment No. 1)

SYNTEC OPTICS HOLDINGS, INC.

(Name of Issuer)

Common Stock, par value $0.0001 per share

(Title of Class of Securities)

87169M105

(CUSIP Number)

Al Kapoor
515 Lee Road,
Rochester, NY, 14606
(585) 768-2513

(Name, Address and Telephone Number of Person Authorized to Receive Notices and Communications)

09/18/2026

(Date of Event Which Requires Filing of This Statement)

If the filing person has previously filed a statement on Schedule 13G to report the acquisition that is the subject of this Schedule 13D, and is filing this schedule because of §§ 240.13d-1(e), 240.13d-1(f) or 240.13d-1(g), check the following box.

The information required on the remainder of this cover page shall not be deemed to be "filed" for the purpose of Section 18 of the Securities Exchange Act of 1934 ("Act") or otherwise subject to the liabilities of that section of the Act but shall be subject to all other provisions of the Act (however, see the Notes).

schemaVersion:

SCHEDULE 13D

CUSIP Number(s): 87169M105

1

Name of reporting person

Al Kapoor

2

Check the appropriate box if a member of a Group (See Instructions)

(a)
(b)

3

SEC use only

4

Source of funds (See Instructions)

OO

5

Check if disclosure of legal proceedings is required pursuant to Items 2(d) or 2(e)

6

Citizenship or place of organization

UNITED STATES

Number of Shares Beneficially Owned by Each Reporting Person With:

7	Sole Voting Power 29,631,090.00
8	Shared Voting Power 0.00
9	Sole Dispositive Power 29,631,090.00
10	Shared Dispositive Power 0.00

11

Aggregate amount beneficially owned by each reporting person

29,631,090.00

12

Check if the aggregate amount in Row (11) excludes certain shares (See Instructions)

13

Percent of class represented by amount in Row (11)

73.56 %

14

Type of Reporting Person (See Instructions)

IN

SCHEDULE 13D

Item 1.	Security and Issuer
(a)	Title of Class of Securities: Common Stock, par value $0.0001 per share
(b)	Name of Issuer: SYNTEC OPTICS HOLDINGS, INC.
(c)	Address of Issuer's Principal Executive Offices: 515 Lee Road, Rochester, NEW YORK , 14606.
Item 1 Comment: This Amendment No. 1 to Schedule 13D is being filed to reflect the Gift and amends and supplements the initial statement on Schedule 13D filed with the Securities and Exchange Commission on November 14, 2023. Except as set forth below, all items of the Original Schedule 13D remain unchanged.
Item 4.	Purpose of Transaction
	Item 4 of the Schedule 13D is hereby amended and restated as follows: This transaction involved the Reporting Person's gift of shares of Syntec Optics Holdings, Inc. Class A Common Stock to irrevocable trusts for which he does not exercise or share voting or investment control. The Reporting Person disclaims beneficial ownership of the securities held by the trust, and this report shall not be deemed an admission that the Reporting Person is the beneficial owner for the purposes of Section 16 or for any other purpose.
Item 5.	Interest in Securities of the Issuer
(a)	Item 5 of the Schedule 13D is hereby amended and restated as follows: The Reporting Person owns 29,631,090 shares of Common Stock. The Reporting Person's holdings represent approximately 73.56% of the Issuer's issued and outstanding shares of Common Stock, based on 40,279,878 shares of Common Stock outstanding as reported in the Issuer's most recent Form 10-Q filed with the SEC on August 10, 2026.
(b)	Item 5 of the Schedule 13D is hereby amended and restated as follows: The Reporting Person has sole power to vote or direct the vote of, and sole power to dispose or direct the disposition of, 29,631,090 shares of Common Stock. The Reporting Person has shared voting power and shared dispositive power over zero (0) shares of Common Stock.
(c)	Item 5 of the Schedule 13D is hereby amended and restated as follows: Except as otherwise set forth herein, no securities of the Issuer were acquired or disposed by the Reporting Person during the past 60 days. On September 18, 2026, the Reporting Person gifted 1,000,000 shares of Syntec Optics Holdings, Inc. Class A Common Stock to irrevocable trusts, as described in Item 4.
(d)	Not applicable.
(e)	Not applicable. The Reporting Person continues to beneficially own more than five percent of the class.
Item 6.	Contracts, Arrangements, Understandings or Relationships With Respect to Securities of the Issuer
	Not amended.
Item 7.	Material to be Filed as Exhibits.
	No new exhibits are being filed with this Amendment No. 1.

SIGNATURE

After reasonable inquiry and to the best of my knowledge and belief, I certify that the information set forth in this statement is true, complete and correct.

Al Kapoor

Signature:	/s/ Al Kapoor
Name/Title:	Al Kapoor (Chairman & CEO)
Date:	09/20/2026