Reported relationships
Latest disclosed role at each company.
| Company | Last reported as | Report date | Published |
|---|---|---|---|
| LIGHTPATH TECHNOLOGIES INCLPTH · Entity 5340 | Director · President and CEO | October 26, 2019 | October 31, 2019 |
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.
LIGHTPATH TECHNOLOGIES INC
Report date October 26, 2019 · Filed October 31, 2019
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Class A Common StockSEC Table I · non-derivative | Direct | 191,933 |
Ending reported balance
After 2019-10-26 transaction · row 2
2 source rows · reconciled sequenceRow 1 · 2019-10-26 · Exercise / conversion · Acquired 8,451 · Balance 193,991 F1: Restricted stock units convert into Class A Common Stock on a one-for-one basis. Row 2 · 2019-10-26 · Disposition to issuer · Disposed 2,058 · Balance 191,933 |
| Restricted stock unitSEC Table II · derivative / convertible security | Direct | 8,452 |
Reported balance
After 2019-10-26 transaction · row 3
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 3 · 2019-10-26 · Exercise / conversion · Disposed 8,451 · Balance 8,452 F1: Restricted stock units convert into Class A Common Stock on a one-for-one basis. F2: Vesting in three equal installments beginning on the first anniversary of the grant date. |
Filing footnotes · ownership attribution and instrument terms
F1: Restricted stock units convert into Class A Common Stock on a one-for-one basis.
F2: Vesting in three equal installments beginning on the first anniversary of the grant date.
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 |
|---|---|---|---|---|---|---|
| October 26, 2019 Filed Oct 31, 2019 15:23 UTC | LIGHTPATH TECHNOLOGIES INC LPTH · Entity 5340 | Exercise / conversionRestricted stock unit · Derivative | 8,451 | $0.00 | $0.00 |
DisclosureSEC source: 0001654954-19-012153 · section16.xml · derivative · entry 3 GAYNOR JOSEPH J JR · CIK 0001199402 · Director · President and CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 8,452 Underlying: Class A Common Stock · 8,451 shares Expires not disclosed 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 · derivative.exercise_price: Restricted stock units convert into Class A Common Stock on a one-for-one basis. F2 · derivative.exercise_date: Vesting in three equal installments beginning on the first anniversary of the grant date. F2 · derivative.expiration_date: Vesting in three equal installments beginning on the first anniversary of the grant date. Read SEC document |
| October 26, 2019 Filed Oct 31, 2019 15:23 UTC | LIGHTPATH TECHNOLOGIES INC LPTH · Entity 5340 | Disposition to issuerClass A Common Stock | 2,058 | $0.72 | $1,481.76 |
DisclosureSEC source: 0001654954-19-012153 · section16.xml · nonDerivative · entry 2 GAYNOR JOSEPH J JR · CIK 0001199402 · Director · President and CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 191,933 Read SEC document |
| October 26, 2019 Filed Oct 31, 2019 15:23 UTC | LIGHTPATH TECHNOLOGIES INC LPTH · Entity 5340 | Exercise / conversionClass A Common Stock | 8,451 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001654954-19-012153 · section16.xml · nonDerivative · entry 1 GAYNOR JOSEPH J JR · CIK 0001199402 · Director · President and CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 193,991 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 convert into Class A Common Stock on a one-for-one basis. Read SEC document |
| May 15, 2019 Filed May 15, 2019 20:12 UTC | LIGHTPATH TECHNOLOGIES INC LPTH · Entity 5340 | PurchaseClass A common stock | 3,000 | $1.15 | $3,450.00 |
DisclosureSEC source: 0001654954-19-006107 · section16.xml · nonDerivative · entry 1 GAYNOR JOSEPH J JR · CIK 0001199402 · Director · President and CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 185,540 Read SEC document |
| January 10, 2019 Filed Jan 10, 2019 16:49 UTC | LIGHTPATH TECHNOLOGIES INC LPTH · Entity 5340 | GrantClass A common stock | 4,000 | $1.34 | $5,360.00 |
DisclosureSEC source: 0001654954-19-000281 · section16.xml · nonDerivative · entry 1 GAYNOR JOSEPH J JR · CIK 0001199402 · Director · President and CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 182,540 F1 · shares: These shares were purchased under the Employee Stock Purchase Plan. Read SEC document |
| November 15, 2018 Filed Nov 16, 2018 20:27 UTC | LIGHTPATH TECHNOLOGIES INC LPTH · Entity 5340 | GrantIncentive stock option (right-to-buy) · Derivative | 6,092 | $0.00 Strike: $2.10 | $0.00 |
DisclosureSEC source: 0001654954-18-012875 · section16.xml · derivative · entry 1 GAYNOR JOSEPH J JR · CIK 0001199402 · Director · President and CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 6,092 Underlying: Class A common stock · 6,092 shares Expires 2028-11-15 F1 · derivative.exercise_date: The incentive stock option was granted to the reporting person in satisification of certain performance criteria being met for the fiscal year ended June 30, 2018. The incentive stock options vested immediately on November 15, 2018. Read SEC document |
| October 26, 2018 Filed Oct 30, 2018 13:09 UTC | LIGHTPATH TECHNOLOGIES INC LPTH · Entity 5340 | Exercise / conversionRestricted stock unit · Derivative | 8,451 | $0.00 | $0.00 |
DisclosureSEC source: 0001654954-18-011695 · section16.xml · derivative · entry 3 GAYNOR JOSEPH J JR · CIK 0001199402 · Director · President and CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 16,903 Underlying: Class A Common Stock · 8,451 shares Expires not disclosed 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 · derivative.exercise_price: Restricted stock units convert into Class A Common Stock on a one-for-one basis. F2 · derivative.exercise_date: Vesting in three equal installments beginning on the first anniversary of the grant date. F2 · derivative.expiration_date: Vesting in three equal installments beginning on the first anniversary of the grant date. Read SEC document |
| October 26, 2018 Filed Oct 30, 2018 13:09 UTC | LIGHTPATH TECHNOLOGIES INC LPTH · Entity 5340 | Tax withholdingClass A Common Stock | 2,058 | $1.82 | $3,745.56 |
DisclosureSEC source: 0001654954-18-011695 · section16.xml · nonDerivative · entry 2 GAYNOR JOSEPH J JR · CIK 0001199402 · Director · President and CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 178,540 Read SEC document |
| October 26, 2018 Filed Oct 30, 2018 13:09 UTC | LIGHTPATH TECHNOLOGIES INC LPTH · Entity 5340 | Exercise / conversionClass A Common Stock | 8,451 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001654954-18-011695 · section16.xml · nonDerivative · entry 1 GAYNOR JOSEPH J JR · CIK 0001199402 · Director · President and CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 180,598 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 convert into Class A Common Stock on a one-for-one basis. Read SEC document |
| July 09, 2018 Filed Jul 9, 2018 14:29 UTC | LIGHTPATH TECHNOLOGIES INC LPTH · Entity 5340 | GrantClass A common stock | 3,160 | $2.07 | $6,541.20 |
DisclosureSEC source: 0001654954-18-007416 · section16.xml · nonDerivative · entry 1 GAYNOR JOSEPH J JR · CIK 0001199402 · Director · President and CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 172,147 F1 · price: These shares were purchased under the Employee Stock Purchase Plan. Read SEC document |
| June 20, 2018 Filed Jun 20, 2018 20:39 UTC | LIGHTPATH TECHNOLOGIES INC LPTH · Entity 5340 | Exercise / conversionIncentive stock option (right-to-buy) · Derivative | 20,000 | $0.00 Strike: $0.98 | $0.00 |
DisclosureSEC source: 0001654954-18-006795 · section16.xml · derivative · entry 2 GAYNOR JOSEPH J JR · CIK 0001199402 · Director · President and CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 20,000 Underlying: Class A common stock · 20,000 shares Expires 2022-10-25 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 · derivative.exercise_date: The incentive stock option was granted on October 25, 2012 and vested 25% per year for the first four years. Read SEC document |
| June 20, 2018 Filed Jun 20, 2018 20:39 UTC | LIGHTPATH TECHNOLOGIES INC LPTH · Entity 5340 | Exercise / conversionClass A common stock | 20,000 | $0.98 | $19,600.00 |
DisclosureSEC source: 0001654954-18-006795 · section16.xml · nonDerivative · entry 1 GAYNOR JOSEPH J JR · CIK 0001199402 · Director · President and CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 168,987 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. Read SEC document |
| May 30, 2018 Filed May 30, 2018 13:57 UTC | LIGHTPATH TECHNOLOGIES INC LPTH · Entity 5340 | Exercise / conversionStock Option (right-to-buy) · Derivative | 13,000 | $0.00 Strike: $0.87 | $0.00 |
DisclosureSEC source: 0001654954-18-006027 · section16.xml · derivative · entry 2 GAYNOR JOSEPH J JR · CIK 0001199402 · Director · President and CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Class A common stock · 13,000 shares Expires 2023-01-31 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 · derivative.exercise_date: The incentive stock option was granted to the reporting person on January 31, 2013 and vested 25% per year for four years. Read SEC document |
| May 30, 2018 Filed May 30, 2018 13:57 UTC | LIGHTPATH TECHNOLOGIES INC LPTH · Entity 5340 | Exercise / conversionClass A common stock | 13,000 | $0.87 | $11,310.00 |
DisclosureSEC source: 0001654954-18-006027 · section16.xml · nonDerivative · entry 1 GAYNOR JOSEPH J JR · CIK 0001199402 · Director · President and CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 148,987 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. Read SEC document |
| January 22, 2018 Filed Jan 22, 2018 15:24 UTC | LIGHTPATH TECHNOLOGIES INC LPTH · Entity 5340 | Exercise / conversionStock Option (right-to-buy) · Derivative | 30,000 | $0.00 Strike: $2.10 | $0.00 |
DisclosureSEC source: 0001654954-18-000605 · section16.xml · derivative · entry 2 GAYNOR JOSEPH J JR · CIK 0001199402 · Director · President and CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Class A common stock · 30,000 shares Expires 2018-01-31 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 · derivative.exercise_date: This stock option was issued on 1/31/2008 and vested 25% per year for four years. Read SEC document |
| January 22, 2018 Filed Jan 22, 2018 15:24 UTC | LIGHTPATH TECHNOLOGIES INC LPTH · Entity 5340 | Exercise / conversionClass A common stock | 30,000 | $2.10 | $63,000.00 |
DisclosureSEC source: 0001654954-18-000605 · section16.xml · nonDerivative · entry 1 GAYNOR JOSEPH J JR · CIK 0001199402 · Director · President and CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 135,987 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. Read SEC document |
| January 05, 2018 Filed Jan 5, 2018 16:08 UTC | LIGHTPATH TECHNOLOGIES INC LPTH · Entity 5340 | GrantClass A Common Stock | 3,278 | $2.07 | $6,785.46 |
DisclosureSEC source: 0001654954-18-000124 · section16.xml · nonDerivative · entry 1 GAYNOR JOSEPH J JR · CIK 0001199402 · Director · President and CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 105,987 F1 · shares: These shares were purchased under the Employee Stock Purchase Plan. Read SEC document |
| November 06, 2017 Filed Nov 7, 2017 15:35 UTC | LIGHTPATH TECHNOLOGIES INC LPTH · Entity 5340 | Exercise / conversionIncentive stock option (right to buy) · Derivative | 15,000 | $0.00 Strike: $3.05 | $0.00 |
DisclosureSEC source: 0001654954-17-010111 · section16.xml · derivative · entry 2 GAYNOR JOSEPH J JR · CIK 0001199402 · Director · President and CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Class A common stock · 15,000 shares Expires 2017-11-06 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 · derivative.exercise_date: This stock option was issued on 11/6/2007 and vested 25% per year for four years. Read SEC document |
| November 06, 2017 Filed Nov 7, 2017 15:35 UTC | LIGHTPATH TECHNOLOGIES INC LPTH · Entity 5340 | Exercise / conversionClass A common stock | 15,000 | $3.05 | $45,750.00 |
DisclosureSEC source: 0001654954-17-010111 · section16.xml · nonDerivative · entry 1 GAYNOR JOSEPH J JR · CIK 0001199402 · Director · President and CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 107,709 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. Read SEC document |
| October 26, 2017 Filed Oct 27, 2017 19:19 UTC | LIGHTPATH TECHNOLOGIES INC LPTH · Entity 5340 | GrantIncentive stock option · Derivative | 28,795 | $4.24 Strike: $4.24 | $122,090.80 |
DisclosureSEC source: 0001654954-17-009760 · section16.xml · derivative · entry 2 GAYNOR JOSEPH J JR · CIK 0001199402 · Director · President and CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 28,795 Underlying: Class A common stock · 28,795 shares Expires 2027-10-26 F3 · derivative.exercise_date: The incentive stock option was granted to the reporting person in satisfaction of certain performance criteria being met for the fiscal year ended June 30, 2017. The incentive stock option vests in three equal installments beginning on October 26, 2018. Read SEC document |
| October 26, 2017 Filed Oct 27, 2017 19:19 UTC | LIGHTPATH TECHNOLOGIES INC LPTH · Entity 5340 | GrantRestricted stock unit · Derivative | 25,354 | $0.00 Strike: $0.00 | $0.00 |
DisclosureSEC source: 0001654954-17-009760 · section16.xml · derivative · entry 1 GAYNOR JOSEPH J JR · CIK 0001199402 · Director · President and CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 25,354 Underlying: Class A common stock · 25,354 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. The Restricted stock unit was granted to the reporting person in satisification of certain performance criteria being met for the fiscal year ended June 30, 2017. 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 |
| July 07, 2017 Filed Jul 7, 2017 18:18 UTC | LIGHTPATH TECHNOLOGIES INC LPTH · Entity 5340 | GrantClass A Common Stock | 1,191 | $2.43 | $2,894.13 |
DisclosureSEC source: 0001654954-17-006247 · section16.xml · nonDerivative · entry 1 GAYNOR JOSEPH J JR · CIK 0001199402 · Director · President and CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 87,709 F1 · shares: These shares were purchased under the Employee Stock Purchase Plan. Read SEC document |
| January 06, 2017 Filed Jan 6, 2017 21:09 UTC | LIGHTPATH TECHNOLOGIES INC LPTH · Entity 5340 | PurchaseCommon Stock | 2,014 | $1.39 | $2,799.46 |
DisclosureSEC source: 0001354488-17-000050 · issuerdirect_section16.xml · nonDerivative · entry 1 GAYNOR JOSEPH J JR · CIK 0001199402 · Director · President and CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 86,518 F1 · shares: These shares were purchased from the Employee Stock Purchase Plan. Read SEC document |
| December 21, 2016 Filed Dec 21, 2016 19:12 UTC | LIGHTPATH TECHNOLOGIES INC LPTH · Entity 5340 | PurchaseCommon Stock | 33,000 | $1.21 | $39,930.00 |
DisclosureSEC source: 0001354488-16-008692 · issuerdirect_section16.xml · nonDerivative · entry 1 GAYNOR JOSEPH J JR · CIK 0001199402 · Director · President and CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 84,504 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 18:37 UTC | LIGHTPATH TECHNOLOGIES INC LPTH · Entity 5340 | GrantIncentive stock option · Derivative | 60,870 | $0.00 Strike: $1.78 | $0.00 |
DisclosureSEC source: 0001354488-16-008443 · issuerdirect_section16.xml · derivative · entry 2 GAYNOR JOSEPH J JR · CIK 0001199402 · Director · President and CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 60,870 Underlying: Class A common stock · 60,870 shares Expires 2026-10-27 F2 · derivative.exercise_date: The Incentive Stock Option was granted to the reporting person in satisfaction of certain performance criteria being met for the fiscal year ended June 30, 2016. The incentive stock option vests in four equal installments beginning on October 27, 2017. Read SEC document |
| October 27, 2016 Filed Nov 2, 2016 18:37 UTC | LIGHTPATH TECHNOLOGIES INC LPTH · Entity 5340 | GrantIncentive stock option · Derivative | 117,108 | $0.00 Strike: $1.55 | $0.00 |
DisclosureSEC source: 0001354488-16-008443 · issuerdirect_section16.xml · derivative · entry 1 GAYNOR JOSEPH J JR · CIK 0001199402 · Director · President and CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 117,108 Underlying: Class A common stock · 117,108 shares Expires 2026-10-27 F1 · derivative.exercise_date: The Incentive Stock Option was granted to the reporting person in satisfaction of certain performance criteria being met for the fiscal year ended June 30, 2016. The incentive stock option became exercisable with respect to all shares underlying the option on October 27, 2016, the grant date. 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.