8-K 1 lpth_8k.htm CURRENT REPORT Blueprint
 

UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
 
 FORM 8-K
 
CURRENT REPORT
 
PURSUANT TO SECTION 13 OR 15(d) OF THE
SECURITIES EXCHANGE ACT OF 1934
 
June 3, 2019
Date of Report (Date of earliest event reported)
 
LIGHTPATH TECHNOLOGIES, INC.
(Exact name of registrant as specified in its charter)
 
Delaware
 
000-27548
 
86-0708398
(State or other jurisdiction of incorporation or organization)
 
(Commission File Number)
 
(I.R.S. Employer Identification Number)
 
2603 Challenger Tech Court, Suite 100
Orlando, Florida 32826
(Address of principal executive office, including zip code)
 
(407) 382-4003
(Registrant’s telephone number, including area code)
 
Securities registered pursuant to Section 12(b) of the Act:
 
Title of each class
Trading Symbol(s)
Name of each exchange on which registered
None
None
None
 
Check the appropriate box below if the Form 8-K filing is intended to simultaneously satisfy the filing obligation of the registrant under any of the following provisions:
 
☐ Written communications pursuant to Rule 425 under the Securities Act (17 CFR 230.425)
 
☐ Soliciting material pursuant to Rule 14a-12 under the Exchange Act (17 CFR 240.14a-12)
 
☐ Pre-commencement communications pursuant to Rule 14d-2(b) under the Exchange Act (17 CFR 240.14d-2(b))
 
☐ Pre-commencement communications pursuant to Rule 13e-4(c) under the Exchange Act (17 CFR 240.13e-4(c)) 
 
Indicate by check mark whether the registrant is an emerging growth company as defined in Rule 405 of the Securities Act of 1933 (17 CFR §230.405) or Rule 12b-2 of the Securities Exchange Act of 1934 (17 CFR §240.12b-2 of this chapter).
 
Emerging growth company ☐
 
If an emerging growth company, indicate by check mark if the registrant has elected not to use the extended transition period for complying with any new or revised financial accounting standards providing pursuant to Section 13(a) of the Exchange Act. ☐
 

 
 
 
LightPath Technologies, Inc.
Form 8-K
 
Item 8.01. Other Events.
 
On June 3, 2019, LightPath Technologies, Inc. (the “Company,” “we,” “us,” or “our”) announced that J. James Gaynor intends to retire as the Company’s Chief Executive Officer and President in June 2020. Mr. Gaynor will continue to serve as the Company’s Chief Executive Officer and President until a successor has been selected and will assist the Company’s board of directors in its ongoing succession planning. He will also continue to serve as a director.
 
A press release announcing Mr. Gaynor’s prospective retirement is attached hereto as Exhibit 99.1 and is incorporated herein by reference.
 
Item 9.01. Financial Statements and Exhibits.
 
(d)
 
Exhibit No.
  
Description
 
 
 
 
Press Release dated June 3, 2019
 
 
 

 
 
SIGNATURES
 
Pursuant to the requirements of the Securities Exchange Act of 1934, as amended, the registrant has duly caused this Report to be signed in its behalf by the undersigned, thereunto duly authorized.
 
 
LIGHTPATH TECHNOLOGIES, INC.
 
 
 
 
 
Dated: June 3, 2019
By:  
/s/ Donald O. Retreage, Jr.  
 
 
 
Donald O. Retreage, Jr., CFO