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Fitch Mark A – ‘4’ for 8/1/02 re: Lightpath Technologies Inc.

On:  Friday, 8/30/02, at 10:25am ET   ·   For:  8/1/02   ·   Accession #:  950147-2-1134   ·   File #:  0-27548

Previous ‘4’:  ‘4’ on 4/5/02 for 3/5/02   ·   Latest ‘4’:  This Filing

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  As Of               Filer                 Filing    For·On·As Docs:Size             Issuer                      Filing Agent

 8/30/02  Fitch Mark A                      4          Other       1:9K   Lightpath Technologies Inc.       Imperial Fin’l … Corp/FA

Statement of Changes in Beneficial Ownership of Securities by an Insider   —   Form 4   —   SEA’34
Filing Table of Contents

Document/Exhibit                   Description                      Pages   Size 

 1: 4           Form 4 for Mark Fitch                                  3     14K 

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------------------------------ OMB APPROVAL ------------------------------ ------ OMB Number: 3235-0287 FORM 4 Expires: January 31, 2005 ------ Estimated average burden hours per response ....... 0.5 ------------------------------ UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 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* Fitch Mark -------------------------------------------------------------------------------- (Last) (First) (Middle) 3819 Osuna NE -------------------------------------------------------------------------------- (Street) Albuquerque NM 87109 -------------------------------------------------------------------------------- (City) (State) (Zip) ================================================================================ 2. Issuer Name and Ticker or Trading Symbol LPTH ================================================================================ 3. I.R.S. Identification Number of Reporting Person, if an entity (Voluntary) ================================================================================ 4. Statement for Month/Year August 2002 ================================================================================ 5. If Amendment, Date of Original (Month/Year) ================================================================================ 6. Relationship of Reporting Person(s) to Issuer (Check all applicable) [ ] Director [ ] 10% Owner [ ] Officer (give title below) [X] Other (specify below) Senior VP ------------------------------------ ================================================================================ 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
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Form 4 (continued) Table I -- Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned [Enlarge/Download Table] ========================================================================================================================== | | | | 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- | Transaction | (Instr. 8) | |(A)| | of Month | Indirect | ship Title of Security | Date | ----------- | Amount|or |Price | (Instr. | (I) | (Instr. (Instr. 3) | (mm/dd/yy) | Code | V | |(D)| | 3 and 4) | (Instr.4)| 4) -------------------------------------------------------------------------------------------------------------------------- Class A common stock (1) 08/01/02 A V 33,525 A $0.57 53,835 D -------------------------------------------------------------------------------------------------------------------------- -------------------------------------------------------------------------------------------------------------------------- -------------------------------------------------------------------------------------------------------------------------- 1) Restrick Stock Award which vests over 2 to 4 years. -------------------------------------------------------------------------------------------------------------------------- ========================================================================================================================== Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. * If the Form is filed by more than one Reporting Person, see Instruction 4(b)(v). PERSONS WHO RESPOND TO THE COLLECTION OF INFORMATION CONTAINED IN THIS FORM ARE NOT REQUIRED TO RESPOND UNLESS THE FORM DISPLAYS A CURRENTLY VALID OMB CONTROL NUMBER. Page 2 of 3
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Form 4 (continued) Table II -- Derivative Securities Acquired, Disposed of, or Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities) [Enlarge/Download Table] ========================================================================================================================= | | | |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 (3) 7.875 8/1/02 D V 12500 10/1/98 10/08 Common 12500 D ------------------------------------------------------------------------------------------------------------------------- Stock Option (3) 11.63 8/1/02 D V 16000 1/3/02 1/12 Common 16000 D ------------------------------------------------------------------------------------------------------------------------- Stock Option (3) 16.59 8/1/02 D V 20000 4/14/01 4/11 Common 20000 61,000 D ========================================================================================================================= 3) Option Cancelled. Explanation of Responses: /s/ Mark Fitch 8/30/02 ------------------------------- ------------ **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. Potential persons who are to respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB Number. Page 3 of 3

Dates Referenced Herein   and   Documents Incorporated by Reference

Referenced-On Page
This ‘4’ Filing    Date First  Last      Other Filings
1/31/051
Filed on:8/30/024
For Period end:8/1/023,  4,  8-K
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Filing Submission 0000950147-02-001134   –   Alternative Formats (Word / Rich Text, HTML, Plain Text, et al.)

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