0001181431-11-053857.txt : 20111031 0001181431-11-053857.hdr.sgml : 20111031 20111031101946 ACCESSION NUMBER: 0001181431-11-053857 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20111027 FILED AS OF DATE: 20111031 DATE AS OF CHANGE: 20111031 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: GAYNOR JOSEPH J JR CENTRAL INDEX KEY: 0001199402 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 000-27548 FILM NUMBER: 111166901 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 4 1 rrd324575.xml 10/27/2011 ISO AWARD X0304 4 2011-10-27 0 0000889971 LIGHTPATH TECHNOLOGIES INC LPTH 0001199402 GAYNOR JOSEPH J JR 2603 CHALLENGER TECH COURT SUITE 100 ORLANDO FL 32826 1 1 0 0 President & CEO Class A Common 12253 D Class A Common 722 D Non-qualified stock option 3.47 2008-07-24 2016-07-24 Class A Common 15000 0 D Non-qualified stock option 4.80 2007-10-27 2016-10-27 Class A Common 20000 0 D Incentive stock option 3.05 2008-11-06 2017-11-06 Class A Common 15000 0 D Incentive stock option 2.10 2009-01-31 2018-01-31 Class A Common 30000 0 D 8% Convertible Debt 1.40 2008-08-01 2011-08-01 Class A Common 12175 0 D Common stock warrant 1.68 2008-08-01 2013-08-01 Class A Common 5275 0 D Common stock warrant 1.89 2008-08-01 2013-08-01 Class A Common 2841 0 D Common stock warrant .87 2008-12-31 2013-12-31 Class A Common 3159 0 D Common stock option 2.66 2011-02-04 2020-02-04 Class A Common 50000 0 D Common stock warrant 2.48 2010-10-08 2015-10-08 Class A Common 228 0 D incentive stock option 2.69 2011-11-03 2020-11-03 Class A Common 25000 0 D Incentive stock option 1.39 2011-10-27 4 A 0 40000 1.39 A 2012-10-27 2021-10-27 Class A Common 40000 218678 D Vests over 4 years. These stock options vest over two years. These warrants were issued pursuant to amendment #1 to 8% senior debentures. These shares are annual interest payment on convertible debentures. /s/ Joseph James Gaynor 2011-10-31