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Dietze Katherine E – ‘4/A’ for 5/11/99 re: Lightpath Technologies Inc.

As of:  Monday, 9/20/99   ·   For:  5/11/99   ·   Accession #:  950147-99-1039   ·   File #:  0-27548

Previous ‘4’:  ‘4/A’ on 6/17/99 for 5/11/99   ·   Latest ‘4’:  This Filing

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

 9/20/99  Dietze Katherine E                4/A        Director    1:8K   Lightpath Technologies Inc.       Imperial Fin’l … Corp/FA

Amendment to 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/A         Amend. 2 to Form 4 of Katherine Dietze                 3     13K 

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------------------------------ OMB APPROVAL ------------------------------ OMB Number Expires: Estimated average burden hours per response ....... 0.5 ------------------------------ U.S. SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 4/A AMENDMENT NO. 2 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* Dietze Katherine E. -------------------------------------------------------------------------------- (Last) (First) (Middle) 6820 Academy Parkway East NE -------------------------------------------------------------------------------- (Street) Albuquerque NM 87109 -------------------------------------------------------------------------------- (City) (State) (Zip) ================================================================================ 2. Issuer Name and Ticker or Trading Symbol LightPath Technologies, Inc. -- LPTHA ================================================================================ 3. IRS or Social Security Number of Reporting Person (Voluntary) ================================================================================ 4. Statement for Month/Year ================================================================================ 5. If Amendment, Date of Original (Month/Year) May 1999 ================================================================================ 6. Relationship of Reporting Person to Issuer (Check all applicable) [X] Director [ ] 10% Owner [ ] Officer (give title below) [ ] Other (specify below) ================================================================================ 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- Title of Transaction (Instr. 8) (A) of Month Indirect ship Security Date ----------- Amount or Price (Instr. (I) (Instr. (Instr. 3) (mm/dd/yy) Code V (D) 3 and 4) (Instr.4) 4) -------------------------------------------------------------------------------------- -------------------------------------------------------------------------------------- -------------------------------------------------------------------------------------- -------------------------------------------------------------------------------------- -------------------------------------------------------------------------------------- ====================================================================================== * If the Form is filed by more than one Reporting Person, see Instruction 4(b)(v). Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. 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 - 5/99- Class A Directors Plan $3.25 5/99 A 27,176 5/2001 5/2009 Common 27,176 37,176 D ----------------------------------------------------------------------------------------------------------------- ----------------------------------------------------------------------------------------------------------------- ----------------------------------------------------------------------------------------------------------------- ----------------------------------------------------------------------------------------------------------------- ----------------------------------------------------------------------------------------------------------------- ================================================================================================================= Explanation of Responses: Options reported expired as originally filed on June 4, 1999 were cancelled in error. /s/ Katherine E. Dietze 9/17/99 ------------------------------- ------------ ** 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 procedures. Alternatively, this Form is permitted to be submitted to the Commission in electronic format at the option of the reporting person pursuant to rule 101(b)(4) of Regulation S-T. Page 3 of 3

Dates Referenced Herein   and   Documents Incorporated by Reference

Referenced-On Page
This ‘4/A’ Filing    Date First  Last      Other Filings
Filed on:9/20/994/A
6/4/9934
For Period end:5/11/994,  4/A
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Filing Submission 0000950147-99-001039   –   Alternative Formats (Word / Rich Text, HTML, Plain Text, et al.)

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