-----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, MY5fGp91VNz33WYZt9Wo7J/hR9FsoSvsxJQZG7I6pTClcXnMxS8bUsxPGSJTxmj9 8k12FXpPxO32dsZTzJGyeQ== /in/edgar/work/20000718/0000950147-00-001057/0000950147-00-001057.txt : 20000920 0000950147-00-001057.hdr.sgml : 20000920 ACCESSION NUMBER: 0000950147-00-001057 CONFORMED SUBMISSION TYPE: 3 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20000711 FILED AS OF DATE: 20000718 SUBJECT COMPANY: COMPANY DATA: COMPANY CONFORMED NAME: LIGHTPATH TECHNOLOGIES INC CENTRAL INDEX KEY: 0000889971 STANDARD INDUSTRIAL CLASSIFICATION: [3674 ] IRS NUMBER: 860708398 STATE OF INCORPORATION: DE FISCAL YEAR END: 0630 FILING VALUES: FORM TYPE: 3 SEC ACT: SEC FILE NUMBER: 000-27548 FILM NUMBER: 674564 BUSINESS ADDRESS: STREET 1: 6820 ACADEMY PKWY E N E STREET 2: STE 103 CITY: ALBUQUERQUE STATE: NM ZIP: 87109 BUSINESS PHONE: 5053421100 COMPANY DATA: COMPANY CONFORMED NAME: BARNA STEPHEN CENTRAL INDEX KEY: 0001119335 STANDARD INDUSTRIAL CLASSIFICATION: [ ]OFFICER FILING VALUES: FORM TYPE: 3 BUSINESS ADDRESS: STREET 1: 210 S FOURTH AVE CITY: PHOENIX STATE: AZ ZIP: 85003 MAIL ADDRESS: STREET 1: 210 S FOURTH AVE CITY: PHOENIX STATE: AZ ZIP: 85003 3 1 0001.txt FORM 3 FOR STEPHEN J. BARNA ------------------------------ OMB APPROVAL ------------------------------ ------ OMB Number 3235-0104 FORM 3 Expires: December 31, 2001 ------ Estimated average burden hours per response ....... 0.5 ------------------------------ U.S. SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 INITIAL STATEMENT OF BENEFICIAL OWNERSHIP OF SECURITIES 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 Barna Stephen J. - -------------------------------------------------------------------------------- (Last) (First) (Middle) 23 Fuller Ave - -------------------------------------------------------------------------------- (Street) Chatham NJ 07928 - -------------------------------------------------------------------------------- (City) (State) (Zip) ================================================================================ 2. Date of Event Requiring Statement (Month/Day/Year) 7-11-00 ================================================================================ 3. IRS or Social Security Number of Reporting Person (Voluntary) ================================================================================ 4. Issuer Name and Ticker or Trading Symbol LightPath Technologies, Inc. ================================================================================ 5. Relationship of Reporting Person to Issuer (Check all applicable) [ ] Director [ ] 10% Owner [X] Officer (give title below) [ ] Other (specify below) VP Sales -------------------------------------------------------------------- ================================================================================ 6. If Amendment, Date of Original (Month/Year) ================================================================================ 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 3 (continued) Table I -- Non-Derivative Securities Beneficially Owned ================================================================================ 3. Ownership Form: 1. Title of 2. Amount of Securities Direct (D) or 4. Nature of Indirect Security Beneficially Owned Indirect (I) Beneficial Ownership (Instr. 4) (Instr. 4) (Instr. 5) (Instr.5) - -------------------------------------------------------------------------------- - -------------------------------------------------------------------------------- - -------------------------------------------------------------------------------- - -------------------------------------------------------------------------------- ================================================================================ Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly.
Table II -- Derivative Securities Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities) =================================================================================================== 3. Title and Amount 5.Owner- of Securities Underlying ship Derivative Security Form of 2. Date Exercisable (Instr. 4) Derivative and Expiration Date ------------------------ 4. Conver- Security: (Month/Day/Year) Amount sion or Direct 6. Nature of 1. Title of -------------------- or Exercise (D) or Indirect Derivative Date Expira- Number Price of Indirect Beneficial Security Exer- tion of Derivative (I) Ownership (Instr. 4) cisable Date Title Shares Security (Instr.5) (Instr. 5) - --------------------------------------------------------------------------------------------------- ISO 12/2000 Stock Option -12/2004 12/2009 Class A Common 40,000 10.72 D - --------------------------------------------------------------------------------------------------- - --------------------------------------------------------------------------------------------------- - --------------------------------------------------------------------------------------------------- ===================================================================================================
Explanation of Responses: /s/ Stephen Barna 7-15-00 ------------------------------- ----------- **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 procedure. -----END PRIVACY-ENHANCED MESSAGE-----