-----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, UY+LveEdS42ASwnlmZw6PlpFlj0ryipPjYOkD9kYvlQE+5Rp3BgipC0dVE3HH9fU 8MhxSVpJjWBYUPK8I8Gebw== 0000950147-01-501229.txt : 20010712 0000950147-01-501229.hdr.sgml : 20010712 ACCESSION NUMBER: 0000950147-01-501229 CONFORMED SUBMISSION TYPE: 3 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20010701 FILED AS OF DATE: 20010711 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: 3 SEC ACT: SEC FILE NUMBER: 000-27548 FILM NUMBER: 1678727 BUSINESS ADDRESS: STREET 1: 3819 OSUNA NE CITY: ALBUQUERQUE STATE: NM ZIP: 87109 BUSINESS PHONE: 5053421100 COMPANY DATA: COMPANY CONFORMED NAME: CULLEN ROBERT R CENTRAL INDEX KEY: 0001144603 STANDARD INDUSTRIAL CLASSIFICATION: [] OTHER FILING VALUES: FORM TYPE: 3 BUSINESS ADDRESS: STREET 1: 7100 EAST LINCOLN DRIVE STREET 2: SUITE D 230 CITY: SCOTTSDALE STATE: AZ ZIP: 85253 3 1 e-7124.txt FORM 3 FOR ROBERT CULLEN ------------------------------ 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 Cullen Robert - -------------------------------------------------------------------------------- (Last) (First) (Middle) 3819 Osuna NE - -------------------------------------------------------------------------------- (Street) Albuquerque NM 87109 - -------------------------------------------------------------------------------- (City) (State) (Zip) ================================================================================ 2. Date of Event Requiring Statement (Month/Day/Year) July 2001 ================================================================================ 3. IRS or Social Security Number of Reporting Person (Voluntary) ================================================================================ 4. Issuer Name and Ticker or Trading Symbol LPTH ================================================================================ 5. Relationship of Reporting Person to Issuer (Check all applicable) [ ] Director [ ] 10% Owner [X] Officer (give title below) [ ] Other (specify below) Corporate Executive Vice President -------------------------------------------------------------------- ================================================================================ 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) - -------------------------------------------------------------------------------- Class A Common Stock 214,279 D - -------------------------------------------------------------------------------- - -------------------------------------------------------------------------------- - -------------------------------------------------------------------------------- ================================================================================ 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 of Securities Underlying 5. Owner- Derivative Security ship 2. Date Exercisable (Instr. 4) Form of and Expiration Date ----------------------- 4. Conver- Derivative (Month/Day/Year) Amount sion or Security: 6. Nature of 1.Title of -------------------- or Exercise Direct Indirect Derivative Date Expira- Number Price of (D) or Beneficial Security Exer- tion of Derivative Indirect(I) Ownership (Instr. 4) cisable Date Title Shares Security (Instr.5) (Instr. 5) - --------------------------------------------------------------------------------------------------------------- Nonqualified 1-02 to Stock Option 1-05 1-3-11 Class A Common 20,000 $11.63 D - --------------------------------------------------------------------------------------------------------------- - --------------------------------------------------------------------------------------------------------------- - --------------------------------------------------------------------------------------------------------------- ===============================================================================================================
Explanation of Responses: /s/ Robert R. Cullen 7-11-01 ------------------------------- ----------- **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). -----END PRIVACY-ENHANCED MESSAGE-----