-----BEGIN PRIVACY-ENHANCED MESSAGE----- Proc-Type: 2001,MIC-CLEAR Originator-Name: webmaster@www.sec.gov Originator-Key-Asymmetric: MFgwCgYEVQgBAQICAf8DSgAwRwJAW2sNKK9AVtBzYZmr6aGjlWyK3XmZv3dTINen TWSM7vrzLADbmYQaionwg5sDW3P6oaM5D3tdezXMm7z1T+B+twIDAQAB MIC-Info: RSA-MD5,RSA, K8XYNOSXhOE3Mtui64IUE3e+xlQBJL53o3u4YVuDnt4fWSVEZ6+d4KUtpKKeZrmj EkPXHX1/YXDa1CKE4u4O8g== 0000950147-01-502024.txt : 20020413 0000950147-01-502024.hdr.sgml : 20020413 ACCESSION NUMBER: 0000950147-01-502024 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20011017 FILED AS OF DATE: 20011213 COMPANY DATA: COMPANY CONFORMED NAME: BRUGGEWORTH ROBERT A CENTRAL INDEX KEY: 0001140842 STANDARD INDUSTRIAL CLASSIFICATION: [] DIRECTOR FILING VALUES: FORM TYPE: 4 BUSINESS ADDRESS: STREET 1: 7100 EAST LINCOLN DRIVE, SUITE D-230 CITY: SCOTTSDALE STATE: AZ ZIP: 85253 SUBJECT COMPANY: COMPANY DATA: COMPANY CONFORMED NAME: LIGHTPATH TECHNOLOGIES INC CENTRAL INDEX KEY: 0000889971 STANDARD INDUSTRIAL CLASSIFICATION: SEMICONDUCTORS & RELATED DEVICES [3674] IRS NUMBER: 860708398 STATE OF INCORPORATION: DE FISCAL YEAR END: 0630 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 000-27548 FILM NUMBER: 1812601 BUSINESS ADDRESS: STREET 1: 3819 OSUNA NE CITY: ALBUQUERQUE STATE: NM ZIP: 87109 BUSINESS PHONE: 5053421100 4 1 e-7861.txt FORM 4 OF ROBERT BRUGGWATH - ------ ------------------------------------- FORM 4 OMB APPROVAL - ------ ------------------------------------- [ ] Check this box if no longer OMB Number 3235-0287 subject to Section 16. Form 4 Expires: December 31, 2001 or Form 5 obligations may Estimated average burden continue. See Instruction 1(b). hours per response............. 0.5 ------------------------------------- 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, Section 17(a) of the Public Utility Holding Company Act of 1935 or Section 30(f) of the Investment Company Act of 1940 ================================================================================ 1. Name and Address of Reporting Person* Bruggeworth Robert - -------------------------------------------------------------------------------- (Last) (First) (Middle) 3819 Osuna NE - -------------------------------------------------------------------------------- (Street) Albuquerque NM 87109 - -------------------------------------------------------------------------------- (City) (State) (Zip) ================================================================================ 2. Issuer Name and Ticker or Trading Symbol Lightpath Technologies, Inc. -- LPTH ================================================================================ 3. IRS Or Social Security Number of Reporting Person (Voluntary) ================================================================================ 4. Statement for Month/Year December 2001 ================================================================================ 5. If Amendment, Date of Original (Month/Year) ================================================================================ 6. Relationship of Reporting Person(s) to Issuer (Check all applicable) [X] Director [ ] 10% Owner [ ] Officer (give title below) [ ] Other (specify below) ---------------------------------- ================================================================================ 7. Individual or Joint/Group Filing (Check Applicable Line) [X] Form filed by One Reporting Person [ ] Form filed by More than One Reporting Person ================================================================================ Form 4 (continued) Table I -- Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
======================================================================================= Amount of Securities Secur- Nature Acquired (A) ities Owner- of or Disposed Bene- ship Indirect of (D) (Instr. ficially Form: Bene- Transaction 3, 4 and 5) Owned at Direct ficial Code ---------------- End (D) or Owner- Title of Transaction (Instr. 8) (A) of Month Indirect ship Security Date ----------- Amount or Price (Instr. (I) (Instr. (Instr. 3) (mm/dd/yy) Code V (D) 3 and 4) (Instr.4) 4) - --------------------------------------------------------------------------------------- - --------------------------------------------------------------------------------------- - --------------------------------------------------------------------------------------- - --------------------------------------------------------------------------------------- - --------------------------------------------------------------------------------------- =======================================================================================
* If the Form is filed by more than one Reporting Person, see Instruction 4(b)(v). Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. Page 2 of 3 Form 4 (continued) Table II -- Derivative Securities Acquired, Disposed of, or Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities)
====================================================================================================================== Number Number Owner- of of ship Deriv- Title and Deriv- of Conver- ative Amount of ative Deriv- sion Secur- Underlying Secur- ative Nature of ities Securities ities Secur- of Exer- Acquired Date (Instr. 3 Price Bene- ity: In- cise Trans- (A) or Exercisable and and 4) of ficially Direct direct Price Trans- action Disposed Expiration Date ------------- Deriv- Owned (D) or Bene- of action Code of(D) (Month/Day/Year) Amount ative at End In- ficial Title of Deriv- Date (Instr. (Instr.3, ---------------- or Secur- of direct Owner- Derivative ative (Month/ 8) 4 and 5) Date Expira- Number ity Month (I) ship Security Secur- Day/ ------ -------- Exer- tion of (Instr. (Instr. (Instr (Instr. (Instr. 3) ity Year) Code V (A) (D) cisable Date Title Shares 5) 4) 4) 4) - ---------------------------------------------------------------------------------------------------------------------- Director Stock Option $3.63 10/17/01 A 4,000 11/01 10/11 Class A 4,000 24,000 D - ---------------------------------------------------------------------------------------------------------------------- - ---------------------------------------------------------------------------------------------------------------------- - ---------------------------------------------------------------------------------------------------------------------- - ---------------------------------------------------------------------------------------------------------------------- ======================================================================================================================
Explanation of Responses: /s/ Robert Bruggeworth 12/13/01 - ------------------------------- ------------ **Signature of Reporting Person Date ** 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 provided is insufficient, see Instruction 6 for procedures. Page 3 of 3 -----END PRIVACY-ENHANCED MESSAGE-----