Reported relationships
Latest disclosed role at each company.
| Company | Last reported as | Report date | Published |
|---|---|---|---|
| DYNASIL CORP OF AMERICADYSL:OB · Entity 154413 | Director · 10% owner | July 01, 2019 | July 01, 2019 |
| LIGHTPATH TECHNOLOGIES INCLPTH · Entity 5340 | Director | November 17, 2022 | November 18, 2022 |
Disclosed balances
About these balances
Latest available filing per company, not a reconstructed current portfolio. Matching sequences show the last reported balance with all source rows expandable; grouping alone does not establish account ownership. Do not add unresolved positions together. Filings may omit unchanged positions, and amendments may correct only part of an older disclosure. Jointly reported shares are not necessarily this owner's personal holdings.
DYNASIL CORP OF AMERICA
Report date July 01, 2019 · Filed July 01, 2019
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | Direct | 1,063,422 |
Reported balance
After 2019-07-01 transaction · row 1
1 source rowRow 1 · 2019-07-01 · Grant · Acquired 6,250 · Balance 1,063,422 |
LIGHTPATH TECHNOLOGIES INC
Report date November 17, 2022 · Filed November 18, 2022
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Class A common stockSEC Table I · non-derivative | Direct | 65,086 |
Reported balance
After 2022-11-18 transaction · row 1
1 source rowRow 1 · 2022-11-18 · Exercise / conversion · Acquired 32,086 · Balance 65,086 F1: Restricted stock units were settled into Class A Common Stock on a one-for-one basis upon vesting. |
| Restricted stock unitSEC Table II · derivative / convertible security | Direct | 50,847 |
Reported balance
After 2022-11-17 transaction · row 2
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 2 · 2022-11-17 · Grant · Acquired 50,847 · Balance 50,847 F2: Each restricted stock unit represents a contingent right to receive one share of Class A common stock. F3: The restricted stock units vest one year from the grant date. Directors may elect to defer receipt of the shares to a future date. Any unvested restricted stock units will vest immediately upon the director leaving the board. |
Filing footnotes · ownership attribution and instrument terms
F1: Restricted stock units were settled into Class A Common Stock on a one-for-one basis upon vesting.
F2: Each restricted stock unit represents a contingent right to receive one share of Class A common stock.
F3: The restricted stock units vest one year from the grant date. Directors may elect to defer receipt of the shares to a future date. Any unvested restricted stock units will vest immediately upon the director leaving the board.
Transaction history
JSON APIPurchases/sales include open-market and private transactions. Plan disclosure applies to the filing; individual rows may differ. “Not disclosed” is not “unplanned.”
The cutoff filters transaction history only. Company summaries and owner relationships show the latest available disclosures. Parser corrections can improve historical records.
| Transaction date | Company | Activity / security | Shares / units | Reported price | Reported value | Details |
|---|---|---|---|---|---|---|
| November 18, 2022 Filed Nov 18, 2022 21:58 UTC | LIGHTPATH TECHNOLOGIES INC LPTH · Entity 5340 | Exercise / conversionClass A common stock | 32,086 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001654954-22-015563 · section16.xml · nonDerivative · entry 1 Dunham Craig T · CIK 0001305499 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 65,086 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · price: Restricted stock units were settled into Class A Common Stock on a one-for-one basis upon vesting. Read SEC document |
| November 17, 2022 Filed Nov 18, 2022 21:58 UTC | LIGHTPATH TECHNOLOGIES INC LPTH · Entity 5340 | GrantRestricted stock unit · Derivative | 50,847 | $0.00 | $0.00 |
DisclosureSEC source: 0001654954-22-015563 · section16.xml · derivative · entry 2 Dunham Craig T · CIK 0001305499 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 50,847 Underlying: Class A common stock · 50,847 shares Expires not disclosed F2 · derivative.exercise_price: Each restricted stock unit represents a contingent right to receive one share of Class A common stock. F3 · derivative.exercise_date: The restricted stock units vest one year from the grant date. Directors may elect to defer receipt of the shares to a future date. Any unvested restricted stock units will vest immediately upon the director leaving the board. F3 · derivative.expiration_date: The restricted stock units vest one year from the grant date. Directors may elect to defer receipt of the shares to a future date. Any unvested restricted stock units will vest immediately upon the director leaving the board. Read SEC document |
| November 11, 2021 Filed Nov 16, 2021 00:56 UTC | LIGHTPATH TECHNOLOGIES INC LPTH · Entity 5340 | GrantRestricted stock unit · Derivative | 32,086 | $0.00 | $0.00 |
DisclosureSEC source: 0001654954-21-012273 · section16.xml · derivative · entry 1 Dunham Craig T · CIK 0001305499 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 32,086 Underlying: Class A common stock · 32,086 shares Expires not disclosed F1 · derivative.exercise_price: Each restricted stock unit represents a contingent right to receive one share of Class A common stock. F2 · derivative.exercise_date: The restricted stock units vest one year from the grant date. Directors may elect to defer receipt of the shares to a future date. Any unvested restricted stock units will vest immediately upon the director leaving the board. F2 · derivative.expiration_date: The restricted stock units vest one year from the grant date. Directors may elect to defer receipt of the shares to a future date. Any unvested restricted stock units will vest immediately upon the director leaving the board. Read SEC document |
| November 12, 2020 Filed Nov 23, 2020 22:16 UTC | LIGHTPATH TECHNOLOGIES INC LPTH · Entity 5340 | GrantRestricted stock unit · Derivative | 22,222 | $0.00 | $0.00 |
DisclosureSEC source: 0001654954-20-012848 · section16.xml · derivative · entry 1 Dunham Craig T · CIK 0001305499 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 22,222 Underlying: Class A common stock · 22,222 shares Expires not disclosed F1 · derivative.exercise_price: Each restricted stock unit represents a contingent right to receive one share of Class A common stock. F2 · derivative.exercise_date: The restricted stock units vest equally over a three year period, with the first vesting on November 12, 2021. Director has elected to defer receipt of the shares until he is no longer on the board. Any unvested restricted stock units will vest immediately upon the director leaving the board. F2 · derivative.expiration_date: The restricted stock units vest equally over a three year period, with the first vesting on November 12, 2021. Director has elected to defer receipt of the shares until he is no longer on the board. Any unvested restricted stock units will vest immediately upon the director leaving the board. Read SEC document |
| November 14, 2019 Filed Jan 30, 2020 18:47 UTC | LIGHTPATH TECHNOLOGIES INC LPTH · Entity 5340 | GrantRestricted stock unit · Derivative | 48,000 | $0.00 Strike: $0.00 | $0.00 |
DisclosureSEC source: 0001654954-20-000939 · section16.xml · derivative · entry 1 Dunham Craig T · CIK 0001305499 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 48,000 Underlying: Class A common stock · 48,000 shares Expires not disclosed F1 · derivative.exercise_price: Each restricted stock unit represents a contingent right to receive one share of Class A common stock. F2 · derivative.exercise_date: The restricted stock units vest equally over a three year period, with the first vesting on November 14, 2020. All directors have elected to defer receipt of the shares until they are no longer on the board. Any unvested restricted stock units will vest immediately upon the director leaving the board. F2 · derivative.expiration_date: The restricted stock units vest equally over a three year period, with the first vesting on November 14, 2020. All directors have elected to defer receipt of the shares until they are no longer on the board. Any unvested restricted stock units will vest immediately upon the director leaving the board. Read SEC document |
| July 01, 2019 Filed Jul 1, 2019 13:36 UTC | DYNASIL CORP OF AMERICA DYSL:OB · Entity 154413 | GrantCommon Stock | 6,250 | $1.00 | $6,250.00 |
DisclosureSEC source: 0001260415-19-000023 · primary_doc.xml · nonDerivative · entry 1 Dunham Craig T · CIK 0001305499 · Director · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,063,422 Read SEC document |
| April 01, 2019 Filed Apr 1, 2019 10:20 UTC | DYNASIL CORP OF AMERICA DYSL · Entity 154413 | GrantCommon Stock | 6,127 | $1.02 | $6,249.54 |
DisclosureSEC source: 0001260415-19-000014 · primary_doc.xml · nonDerivative · entry 1 Dunham Craig T · CIK 0001305499 · Director · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,057,172 Read SEC document |
| January 02, 2019 Filed Jan 3, 2019 11:20 UTC | DYNASIL CORP OF AMERICA DYSL · Entity 154413 | GrantCommon Stock | 7,022 | $0.89 | $6,249.58 |
DisclosureSEC source: 0001260415-19-000001 · primary_doc.xml · nonDerivative · entry 1 Dunham Craig T · CIK 0001305499 · Director · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,051,045 Read SEC document |
| November 15, 2018 Filed Nov 16, 2018 19:29 UTC | LIGHTPATH TECHNOLOGIES INC LPTH · Entity 5340 | GrantRestricted stock unit · Derivative | 32,787 | $0.00 Strike: $0.00 | $0.00 |
DisclosureSEC source: 0001654954-18-012863 · section16.xml · derivative · entry 1 Dunham Craig T · CIK 0001305499 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 32,787 Underlying: Class A common stock · 32,787 shares Expires not disclosed F1 · derivative.exercise_price: Each restricted stock unit represents a contingent right to receive one share of Class A common stock. F2 · derivative.expiration_date: The restricted stock units vest equally over a three year period beginning on November 15, 2019. All directors have elected to defer receipt of the shares until they are no longer on the board. Any unvested restricted stock units will vest immediately upon the director leaving the board. Read SEC document |
| October 01, 2018 Filed Oct 1, 2018 12:12 UTC | DYNASIL CORP OF AMERICA DYSL:OB · Entity 154413 | GrantCommon Stock | 4,845 | $1.29 | $6,250.05 |
DisclosureSEC source: 0001260415-18-000033 · primary_doc.xml · nonDerivative · entry 1 Dunham Craig T · CIK 0001305499 · Director · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,044,023 Read SEC document |
| July 02, 2018 Filed Jul 2, 2018 14:18 UTC | DYNASIL CORP OF AMERICA DYSL:OB · Entity 154413 | GrantCommon Stock | 4,371 | $1.43 | $6,250.53 |
DisclosureSEC source: 0001260415-18-000020 · primary_doc.xml · nonDerivative · entry 1 Dunham Craig T · CIK 0001305499 · Director · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,039,178 Read SEC document |
| April 02, 2018 Filed Apr 2, 2018 09:11 UTC | DYNASIL CORP OF AMERICA DYSL:OB · Entity 154413 | GrantCommon Stock | 4,808 | $1.30 | $6,250.40 |
DisclosureSEC source: 0001260415-18-000013 · primary_doc.xml · nonDerivative · entry 1 Dunham Craig T · CIK 0001305499 · Director · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,034,807 Read SEC document |
| January 02, 2018 Filed Jan 3, 2018 08:33 UTC | DYNASIL CORP OF AMERICA DYSL:OB · Entity 154413 | GrantCommon Stock | 5,297 | $1.18 | $6,250.46 |
DisclosureSEC source: 0001260415-18-000002 · primary_doc.xml · nonDerivative · entry 1 Dunham Craig T · CIK 0001305499 · Director · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,029,999 Read SEC document |
| October 26, 2017 Filed Oct 27, 2017 17:51 UTC | LIGHTPATH TECHNOLOGIES INC LPTH · Entity 5340 | GrantRestricted stock unit · Derivative | 16,260 | $0.00 Strike: $0.00 | $0.00 |
DisclosureSEC source: 0001654954-17-009746 · section16.xml · derivative · entry 1 Dunham Craig T · CIK 0001305499 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 16,260 Underlying: Class A common stock · 16,260 shares Expires not disclosed F1 · derivative.exercise_price: Each restricted stock unit represents a contingent right to receive one share of Class A common stock. F2 · derivative.exercise_price: The restricted stock units vest equally over a three year period beginning on October 26, 2018. All directors have elected to defer receipt of the shares until they are no longer on the board. Any unvested restricted stock units will vest immediately upon the director leaving the board. F2 · derivative.expiration_date: The restricted stock units vest equally over a three year period beginning on October 26, 2018. All directors have elected to defer receipt of the shares until they are no longer on the board. Any unvested restricted stock units will vest immediately upon the director leaving the board. Read SEC document |
| October 02, 2017 Filed Oct 2, 2017 08:26 UTC | DYNASIL CORP OF AMERICA DYSL:OB · Entity 154413 | GrantCommon Stock | 5,000 | $1.25 | $6,250.00 |
DisclosureSEC source: 0001260415-17-000026 · primary_doc.xml · nonDerivative · entry 1 Dunham Craig T · CIK 0001305499 · Director · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,024,702 Read SEC document |
| July 03, 2017 Filed Jul 3, 2017 08:30 UTC | DYNASIL CORP OF AMERICA DYSL:OB · Entity 154413 | GiftCommon Stock | 1,000,000 | $0.00 | $0.00 |
DisclosureSEC source: 0001260415-17-000020 · primary_doc.xml · nonDerivative · entry 3 Dunham Craig T · CIK 0001305499 · Director · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · By Dunham Family Trust Disclosed balance after: 1,000,000 Read SEC document |
| July 03, 2017 Filed Jul 3, 2017 08:30 UTC | DYNASIL CORP OF AMERICA DYSL:OB · Entity 154413 | GiftCommon Stock | 1,000,000 | $0.00 | $0.00 |
DisclosureSEC source: 0001260415-17-000020 · primary_doc.xml · nonDerivative · entry 2 Dunham Craig T · CIK 0001305499 · Director · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,019,702 Read SEC document |
| July 03, 2017 Filed Jul 3, 2017 08:30 UTC | DYNASIL CORP OF AMERICA DYSL:OB · Entity 154413 | GrantCommon Stock | 5,081 | $1.23 | $6,249.63 |
DisclosureSEC source: 0001260415-17-000020 · primary_doc.xml · nonDerivative · entry 1 Dunham Craig T · CIK 0001305499 · Director · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 2,019,702 Read SEC document |
| April 03, 2017 Filed Apr 3, 2017 09:36 UTC | DYNASIL CORP OF AMERICA DYSL:OB · Entity 154413 | GrantCommon Stock | 4,960 | $1.26 | $6,249.60 |
DisclosureSEC source: 0001260415-17-000012 · primary_doc.xml · nonDerivative · entry 1 Dunham Craig T · CIK 0001305499 · Director · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 2,014,621 Read SEC document |
| January 03, 2017 Filed Jan 4, 2017 11:52 UTC | DYNASIL CORP OF AMERICA DYSL:OB · Entity 154413 | GrantCommon Stock | 4,883 | $1.28 | $6,250.24 |
DisclosureSEC source: 0001260415-17-000005 · primary_doc.xml · nonDerivative · entry 1 Dunham Craig T · CIK 0001305499 · Director · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 2,009,661 Read SEC document |
| December 21, 2016 Filed Dec 21, 2016 20:42 UTC | LIGHTPATH TECHNOLOGIES INC LPTH · Entity 5340 | PurchaseCommon Stock | 33,000 | $1.21 | $39,930.00 |
DisclosureSEC source: 0001354488-16-008704 · issuerdirect_section16.xml · nonDerivative · entry 1 Dunham Craig T · CIK 0001305499 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 33,000 F1 · shares: These shares of Class A common stock were purchased in connection with our public offering on December 21, 2016 at a public offering price of $1.21 per share. Read SEC document |
| October 27, 2016 Filed Nov 2, 2016 17:44 UTC | LIGHTPATH TECHNOLOGIES INC LPTH · Entity 5340 | GrantRestricted stock unit · Derivative | 38,462 | $0.00 Strike: $0.00 | $0.00 |
DisclosureSEC source: 0001354488-16-008440 · issuerdirect_section16.xml · derivative · entry 1 Dunham Craig T · CIK 0001305499 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 38,462 Underlying: Class A common stock · 38,462 shares Expires not disclosed F1 · derivative.exercise_price: Each restricted stock unit represents a contingent right to receive one share of Class A common stock. F2 · derivative.expiration_date: The restricted stock units vest equally over a three year period beginning on October 27, 2017. All directors have elected to defer receipt of the shares until they are no longer on the board. Any unvested restricted stock units will vest immediately upon the director leaving the board. Read SEC document |
| October 03, 2016 Filed Oct 3, 2016 09:56 UTC | DYNASIL CORP OF AMERICA DYSL:OB · Entity 154413 | GrantCommon Stock | 6,313 | $0.99 | $6,249.87 |
DisclosureSEC source: 0001260415-16-000070 · primary_doc.xml · nonDerivative · entry 1 Dunham Craig T · CIK 0001305499 · Director · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 2,004,778 Read SEC document |
Value uses the disclosed total when available, otherwise shares × reported transaction price. It is not an estimate of exercise cash cost or investment performance.