-----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, Q1HBpj/lNHgRq85JOXcTG56V+3+vlM3JbID/rw6z4j2wzV22VVwQVif8f/8vLLoj oaMPkAJrNgbESrAgZeJV/g== 0000950147-99-000638.txt : 19990618 0000950147-99-000638.hdr.sgml : 19990618 ACCESSION NUMBER: 0000950147-99-000638 CONFORMED SUBMISSION TYPE: 4/A PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 19990511 FILED AS OF DATE: 19990617 SUBJECT COMPANY: COMPANY DATA: COMPANY CONFORMED NAME: LIGHTPATH TECHNOLOGIES INC CENTRAL INDEX KEY: 0000889971 STANDARD INDUSTRIAL CLASSIFICATION: GLASS PRODUCTS, MADE OF PURCHASED GLASS [3231] IRS NUMBER: 860708398 STATE OF INCORPORATION: DE FISCAL YEAR END: 0630 FILING VALUES: FORM TYPE: 4/A SEC ACT: SEC FILE NUMBER: 000-27548 FILM NUMBER: 99647877 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: DIETZE KATHERINE E CENTRAL INDEX KEY: 0001072661 STANDARD INDUSTRIAL CLASSIFICATION: GLASS PRODUCTS, MADE OF PURCHASED GLASS [3231] DIRECTOR STATE OF INCORPORATION: DE FISCAL YEAR END: 0630 FILING VALUES: FORM TYPE: 4/A BUSINESS ADDRESS: STREET 1: 6820 ACADEMY PKWY E N E STREET 2: STE 103 CITY: ALBUQUERQUE STATE: NM ZIP: 87109 BUSINESS PHONE: 5053421100 4/A 1 AMEND. 1 TO FORM 4 OF KATHERINE DIETZE ------------------------------ OMB APPROVAL ------------------------------ OMB Number Expires: Estimated average burden hours per response ....... 0.5 ------------------------------ U.S. SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 4/A AMENDMENT NO. 1 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 [ ] 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* Dietze Katherine E. - -------------------------------------------------------------------------------- (Last) (First) (Middle) 6820 Academy Parkway East NE - -------------------------------------------------------------------------------- (Street) Albuquerque NM 87109 - -------------------------------------------------------------------------------- (City) (State) (Zip) ================================================================================ 2. Issuer Name and Ticker or Trading Symbol LightPath Technologies, Inc. -- LPTHA ================================================================================ 3. IRS or Social Security Number of Reporting Person (Voluntary) ================================================================================ 4. Statement for Month/Year ================================================================================ 5. If Amendment, Date of Original (Month/Year) May 1999 ================================================================================ 6. Relationship of Reporting Person to Issuer (Check all applicable) [X] Director [ ] 10% Owner [ ] Officer (give title below) [ ] Other (specify below) ================================================================================ 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- Title of Transaction (Instr. 8) (A) of Month Indirect ship Security Date ----------- Amount or Price (Instr. (I) (Instr. (Instr. 3) (mm/dd/yy) Code V (D) 3 and 4) (Instr.4) 4) - -------------------------------------------------------------------------------------- - -------------------------------------------------------------------------------------- - -------------------------------------------------------------------------------------- - -------------------------------------------------------------------------------------- - -------------------------------------------------------------------------------------- ======================================================================================
* If the Form is filed by more than one Reporting Person, see Instruction 4(b)(v). Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. 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 - 5/99- Class A Directors Plan $3.25 5/99 A 27,176 5/2001 5/2009 Common 27,176 D - ----------------------------------------------------------------------------------------------------------------- Stock Option - Class A Directors Plan $2.84 5/99 H 10,000 10/2001 10/2008 Common 6,666 30,510 D - ----------------------------------------------------------------------------------------------------------------- - ----------------------------------------------------------------------------------------------------------------- - ----------------------------------------------------------------------------------------------------------------- - ----------------------------------------------------------------------------------------------------------------- =================================================================================================================
Explanation of Responses: /s/ Katherine E. Dietze 6/16/99 - ------------------------------- ------------ ** 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. Alternatively, this Form is permitted to be submitted to the Commission in electronic format at the option of the reporting person pursuant to rule 101(b)(4) of Regulation S-T. Page 3 of 3 -----END PRIVACY-ENHANCED MESSAGE-----