-----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, ACUkkHwfBuObRIEeDN+puJMceoskzYMFV6Hld9aUyhJUKsyOfVZNtQKH0LmBLc1e CqN0o7SY/Kk/5/Bhe2pMVA== 0000950147-02-001215.txt : 20020930 0000950147-02-001215.hdr.sgml : 20020930 20020930114729 ACCESSION NUMBER: 0000950147-02-001215 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20020927 FILED AS OF DATE: 20020930 REPORTING-OWNER: COMPANY DATA: COMPANY CONFORMED NAME: YOST DENNIS CENTRAL INDEX KEY: 0001137541 RELATIONSHIP: OFFICER FILING VALUES: FORM TYPE: 4 BUSINESS ADDRESS: STREET 1: 7100 EAST LINCOLN DRIVE STREET 2: SUITE D-230 CITY: SCOTTSDALE STATE: AZ ZIP: 85253 MAIL ADDRESS: STREET 1: 7100 EAST LINCOLN DRIVE STREET 2: 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: 02775827 BUSINESS ADDRESS: STREET 1: 3819 OSUNA NE CITY: ALBUQUERQUE STATE: NM ZIP: 87109 BUSINESS PHONE: 5053421100 4 1 e-9011.txt FORM 4 OF DENNIS YOST ------------------------------ OMB APPROVAL ------------------------------ - ------ OMB Number: 3235-0287 FORM 4 Expires: January 31, 2005 - ------ Estimated average burden 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 [X] Check this box if no longer subject of Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b). ================================================================================ 1. Name and Address of Reporting Person* Yost Dennis - -------------------------------------------------------------------------------- (Last) (First) (Middle) 3819 Osuna NE - -------------------------------------------------------------------------------- (Street) Albuquerque NM 87109 - -------------------------------------------------------------------------------- (City) (State) (Zip) ================================================================================ 2. Issuer Name and Ticker or Trading Symbol LPTH ================================================================================ 3. I.R.S. Identification Number of Reporting Person, if an entity (Voluntary) ================================================================================ 4. Statement for Month/Year September 27, 2002 ================================================================================ 5. If Amendment, Date of Original (Month/Year) ================================================================================ 6. Relationship of Reporting Person(s) to Issuer (Check all applicable) [ ] Director [ ] 10% Owner [ X] Officer (give title below) [ ] Other (specify below) COO ------------------------------------ ================================================================================ 7. Individual or Joint/Group Filing (Check applicable line) [x] Form filed by One Reporting Person [ ] Form filed by More Than one Reporting Person ================================================================================ Page 1 of 3 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- | Transaction | (Instr. 8) | |(A)| | of Month | Indirect | ship Title of Security | Date | ----------- | Amount|or |Price | (Instr. | (I) | (Instr. (Instr. 3) | (mm/dd/yy) | Code | V | |(D)| | 3 and 4) | (Instr.4)| 4) - -------------------------------------------------------------------------------------------------------------------------- Class A common stock (1) 08/01/02 D V 130,625 D $0.57 - -------------------------------------------------------------------------------------------------------------------------- Class A common stock (1) 07/13/01 D V 11,895 D $6.36 20,000 D - -------------------------------------------------------------------------------------------------------------------------- 1) Restrick Stock Award forfeited. - -------------------------------------------------------------------------------------------------------------------------- ==========================================================================================================================
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). 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 CONTROL NUMBER. 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) - ------------------------------------------------------------------------------------------------------------------------- - ------------------------------------------------------------------------------------------------------------------------- Stock Option (3) 3.33 9/27/02 D V 25,000 1/17/03 1/12 Common 25,000 - ------------------------------------------------------------------------------------------------------------------------- Stock Option (3) 5.18 9/27/02 D V 24,000 8/6/04 8/11 Common 24,000 0 D =========================================================================================================================
3) Option forfeit. Explanation of Responses: /s/ Dennis Yost 9/30/02 - ------------------------------- ------------ **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. Potential persons who are to respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB Number. Page 3 of 3 -----END PRIVACY-ENHANCED MESSAGE-----