-----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, T6R79Dhae7rQIIzFH6lt5s0a1Pofe014fVkk3Mcke9SJ8QmLUoqAw0VWia9sxYVP DLHbhB7cNxv9GThHq0dc5A== 0001181431-08-059091.txt : 20081031 0001181431-08-059091.hdr.sgml : 20081031 20081031113342 ACCESSION NUMBER: 0001181431-08-059091 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20081030 FILED AS OF DATE: 20081031 DATE AS OF CHANGE: 20081031 ISSUER: 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 BUSINESS ADDRESS: STREET 1: 2603 CHALLENGER TECH CT STREET 2: SUITE 100 CITY: ORLANDO STATE: FL ZIP: 32826 BUSINESS PHONE: 4073824003 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: RIPP ROBERT CENTRAL INDEX KEY: 0001059475 STANDARD INDUSTRIAL CLASSIFICATION: ELECTRONIC CONNECTORS [3678] STATE OF INCORPORATION: PA FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 000-27548 FILM NUMBER: 081153107 BUSINESS ADDRESS: STREET 1: C/O AMP INC MS 176-40 STREET 2: PO BOX 3608 CITY: HARRISBURG STATE: PA ZIP: 17105 BUSINESS PHONE: 772-581-7461 MAIL ADDRESS: STREET 1: 920 ORCHID POINT WAY CITY: VERO BEACH STATE: FL ZIP: 32963 4 1 rrd222030.xml 10/30/08 RSU X0303 4 2008-10-30 0 0000889971 LIGHTPATH TECHNOLOGIES INC LPTH 0001059475 RIPP ROBERT 2603 CHALLENGER TECH CT SUITE 100 ORLANDO FL 32826 1 0 0 0 Class A Common 7812 I Trust-Children Class A Common 170244 D Common Stock Warrant (Right to buy) 3.2 2004-01-05 2013-09-30 Class A Common 100000 0 D Common Stock Warrant (Right to buy) 48 1999-11-05 2009-11-10 Class A Common 20156 0 D Common Stock Warrant (Right to buy) 48 1999-11-05 2009-11-10 Class A Common 15000 0 D Restricted Stock Unit 0 2004-10-20 2014-10-20 Class A Common 6000 0 D Restricted Stock Unit 0 2005-10-20 2014-10-20 Class A Common 2850 0 D Restricted Stock Unit 0 2006-10-20 2014-10-20 Class A Common 2850 0 D Non-qualified stock option 2.41 2006-11-10 2015-11-10 Class A Common 2033 0 D Non-qualified stock option 2.41 2007-11-10 2015-11-10 Class A Common 2033 0 D Non-qualified stock option 2.41 2008-11-10 2015-11-10 Class A Common 2034 0 D Restricted Stock Unit 0 2006-11-10 2015-11-10 Class A Common 3333 0 D Restricted Stock Unit 0 2007-11-10 2015-11-10 Class A Common 3333 0 D Restricted Stock Unit 0 2008-10-10 2015-11-10 Class A Common 3334 0 D Restricted Stock Unit 0 2007-10-27 2016-10-27 Class A Common 3333 0 D Restricted Stock Unit 0 2008-10-27 2016-10-27 Class A Common 3333 0 D Restricted Stock Unit 0 2009-10-27 2016-10-27 Class A Common 3333 0 D Restricked Stock Unit 0 2017-11-06 Class A Common 10000 0 D Non-qualified stock option 1.86 2018-02-01 Class A Common 30000 0 D 8% Convertible debenture 1.40 2008-08-01 2011-08-01 Class A Common 162338 0 D Common Stock Warrant 1.68 2008-08-01 2013-08-01 Class A Common 52760 0 D Common Stock Warrant 1.89 2008-08-01 2013-08-01 Class A Common 28409 0 D Restricted stock unit 0 2008-10-30 4 A 0 15000 0 A 2009-10-30 2011-10-30 Class A Common 15000 591697 D The reporting person declaim beneficial ownership of these securities, and this report shall not be deemed an admission that the reporting person is the beneficial owner of the Securities for purposes of Section 16 or any other purpose Restricted stock units convert at a 1-to-1 ratio to Class A Common The Reporting person shall be eligible to electively receive one share of Class A Common for each restricted stock unit at this date subject to continued employment Granted as vested in lieu of grant in prior year These shares vest over four years. These shares vest over three years. /s/ Robert Ripp 2008-10-30 -----END PRIVACY-ENHANCED MESSAGE-----