Thomas B. Ellis - 18 Nov 2025 Form 4 Insider Report for LIGHTPATH TECHNOLOGIES INC (LPTH)

Reporting relationship: Director, 10%+ Owner
Issuer ticker: LPTH
Reported as of: 18 Nov 2025
Net transaction value: $0
SEC form: 4
Accepted by SEC: 21 Nov 2025, 17:54:52 UTC
Prior SEC filing: 20 Jun 2025
Next SEC filing: 03 Mar 2026
Source filing: View source filing
Reporting owner signature: /s/ Natalie N King attorney-in-fact

Key filing fact

Thomas B. Ellis filed Form 4 for LIGHTPATH TECHNOLOGIES INC (LPTH) on 21 Nov 2025.

Key facts

This page summarizes Thomas B. Ellis's Form 4 filing for LIGHTPATH TECHNOLOGIES INC (LPTH).
2 reported transactions and 1 derivative row are listed below.
Accepted by SEC: 21 Nov 2025, 17:54.

Change

Previous filing in this sequence was filed on 20 Jun 2025.
Current net transaction value: $0.

Research use

This tells you what this filing adds before you inspect full transaction and derivative tables.
You can trace every row back to the original SEC filing document.

Evidence

Filed on Form 4

Ownership activity is grounded in SEC Form 4 disclosures.

View source filing

Reporting Owners (1)

CIK 0001283774 Primary reporting owner

ELLIS THOMAS B

Relationship: Director, 10%+ Owner
Address: 2603 CHALLENGER TECH COURT, SUITE 100, ORLANDO
Signature: /s/ Natalie N King attorney-in-fact
Signature date: 21 Nov 2025

Reported non-derivative transactions

Shares, units, or other non-derivative securities reported in this filing.

LPTH transaction

Class A common stock

Options Exercise

Transaction value
Shares: +6,968
Change %
Price
Shares after: 6,968
Date: 20 Nov 2025
Ownership: See footnotes
Footnotes: F1, F2, F3

Reported derivative securities

Options, warrants, convertible securities, or similar derivative positions disclosed in the filing.

LPTH transaction Derivative

Restricted stock units

Award

Transaction value
Shares: +8,824
Change %
Price
Shares after: 8,824
Date: 18 Nov 2025
Ownership: See footnotes
Underlying class: Class A common stock
Underlying amount: 8,824
Exercise price
Footnotes: F2, F3, F4, F5

^* marks a reported price that did not pass the local price check.

Additional SEC filing notes

Filing notes and footnotes

Explanation of responses 5 footnotes

Footnote F1

Restricted stock units were settled into Class A Common Stock on a one-for-one basis upon vesting.

Footnote F2

The reported securities are directly held by North Run Capital, LP, and may be deemed to be indirectly beneficially owned by North Run Advisors, LLC as the general partner of North Run Capital, LP. The reported securities may also be deemed to be indirectly beneficially owned by the Reporting Person as a member of North Run Advisors, LLC.

Footnote F3

The Reporting Person disclaims beneficial ownership of the reported securities except to the extent of his pecuniary interest therein, and this report shall not be deemed an admission of beneficial ownership of the securities for purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or for any other purpose.

Footnote F4

Each restricted stock unit represents a contingent right to receive one share of Class A common stock.

Footnote F5

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.