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Dietze Katherine E – ‘3’ for 10/19/98 re: Lightpath Technologies Inc.

As of:  Monday, 10/26/98   ·   For:  10/19/98   ·   Accession #:  950147-98-838   ·   File #:  0-27548

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

10/26/98  Dietze Katherine E                3          Director    1:7K   Lightpath Technologies Inc.       Imperial Fin’l … Corp/FA

Initial Statement of Beneficial Ownership of Securities by an Insider   —   Form 3   —   SEA’34
Filing Table of Contents

Document/Exhibit                   Description                      Pages   Size 

 1: 3           Form 3 of Katherine E. Dietze                          2     11K 

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------------------------------ OMB APPROVAL ------------------------------ OMB Number 3235-0104 Expires: April 30, 1997 Estimated average burden hours per response ....... 0.5 ------------------------------ U.S. SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 3 INITIAL STATEMENT OF BENEFICIAL OWNERSHIP OF SECURITIES 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 ================================================================================ 1. Name and Address of Reporting Person* Dietze Katherine E. -------------------------------------------------------------------------------- (Last) (First) (Middle) 6820 Academy Parkway East, N.E. -------------------------------------------------------------------------------- (Street) Albuquerque NM 87109 -------------------------------------------------------------------------------- (City) (State) (Zip) ================================================================================ 2. Date of Event Requiring Statement (Month/Day/Year) 10-19-98 ================================================================================ 3. IRS or Social Security Number of Reporting Person (Voluntary) ================================================================================ 4. Issuer Name and Ticker or Trading Symbol LighPath Technologies, Inc LPTHA ================================================================================ 5. Relationship of Reporting Person to Issuer (Check all applicable) [X] Director [ ] 10% Owner [ ] Officer (give title below) [ ] Other (specify below) -------------------------------------------------------------------- ================================================================================ 6. If Amendment, Date of Original (Month/Year) ================================================================================ 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 2
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FORM 3 (continued) Table I -- Non-Derivative Securities Beneficially Owned ================================================================================ 4. Nature of 3. Ownership Form: Indirect 2. Amount of Securities Direct (D) or Beneficial 1. Title of Security Beneficially Owned Indirect (I) Ownership (Instr. 4) (Instr. 4) (Instr. 5) (Instr.5) -------------------------------------------------------------------------------- -------------------------------------------------------------------------------- -------------------------------------------------------------------------------- -------------------------------------------------------------------------------- ================================================================================ * If the Form is filed by more than one Reporting Person, see Instruction 5(b)(v) Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. Table II -- Derivative Securities Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities) ================================================================================ [Enlarge/Download Table] 3. Title and Amount 5. Owner- of Securities ship Underlying Derivative Form of 2. Date Exercisable Security (Instr. 4) Derivative and Expiration Date --------------------- 4. Conver- Security: (Month/Day/Year) Amount sion or Direct 6. Nature of 1. Title of ---------------------- or Exercise (D) or Indirect Derivative Date Expira- Number Price of Indirect Beneficial Security Exer- tion of Derivative (I) Ownership (Instr. 4) cisable Date Title Shares Security (Instr.5) (Instr.5) ------------------------------------------------------------------------------------------------------- Stock Option- 9/99 Director Plan to 10/2001 10/2008 Class A Common 10,000 $2.84 D ------------------------------------------------------------------------------------------------------- ------------------------------------------------------------------------------------------------------- ------------------------------------------------------------------------------------------------------- ------------------------------------------------------------------------------------------------------- ======================================================================================================= Explanation of Responses: /s/ Katherine E. Dietze 10-26-98 --------------------------------- -------- **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 procedure. 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 2 of 2

Dates Referenced Herein   and   Documents Incorporated by Reference

Referenced-On Page
This ‘3’ Filing    Date First  Last      Other Filings
Filed on:10/26/98
For Period end:10/19/984,  DEF 14A
4/30/971
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Filing Submission 0000950147-98-000838   –   Alternative Formats (Word / Rich Text, HTML, Plain Text, et al.)

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