-----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, EDe26IKP0IokKqb9Ze0bk7v6vu8uqiEJW7Oe6/+MxAgabmuHX4ZRKdQFbtsfKFid PQ9I2waC3Ploft0SJse3SQ== 0000950147-99-001354.txt : 19991130 0000950147-99-001354.hdr.sgml : 19991130 ACCESSION NUMBER: 0000950147-99-001354 CONFORMED SUBMISSION TYPE: 3 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 19990317 FILED AS OF DATE: 19991129 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: 99765361 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: RIPP ROBERT CENTRAL INDEX KEY: 0001059475 STANDARD INDUSTRIAL CLASSIFICATION: ELECTRONIC CONNECTORS [3678] DIRECTOR STATE OF INCORPORATION: PA FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 3 BUSINESS ADDRESS: STREET 1: C/O AMP INC MS 176-40 STREET 2: PO BOX 3608 CITY: HARRISBURG STATE: PA ZIP: 17105 BUSINESS PHONE: 7175927228 MAIL ADDRESS: STREET 1: PO BOX 3608 M S 176 41 CITY: HARRISBURG STATE: PA ZIP: 17105 3 1 FORM 3 OF ROBERT RIPP ------------------------------ OMB APPROVAL ------------------------------ ------ OMB Number 3235-0104 FORM 3 Expires: September 30, 1998 ------ 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 Ripp Robert - -------------------------------------------------------------------------------- (Last) (First) (Middle) 6820 Academy Parkway East NE - -------------------------------------------------------------------------------- (Street) Albuquerque NM 87109 - -------------------------------------------------------------------------------- (City) (State) (Zip) ================================================================================ 2. Date of Event Requiring Statement (Month/Day/Year) 11-16-99 ================================================================================ 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) [X] Director [ ] 10% Owner [ ] Officer (give title below) [ ] Other (specify below) -------------------------------------------------------------------- ================================================================================ 6. If Amendment, Date of Original (Month/Year) ================================================================================ 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 62,500 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 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) - --------------------------------------------------------------------------------------------------- Warrant 11/99 11/09 Class A Common 281,250 6.00 D - --------------------------------------------------------------------------------------------------- - --------------------------------------------------------------------------------------------------- ===================================================================================================
Explanation of Responses: /s/ Robert Ripp 11/24/99 ------------------------------- ----------- **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 procedure. -----END PRIVACY-ENHANCED MESSAGE-----