Current Report Filing (8-k)
February 16 2021 - 5:34PM
Edgar (US Regulatory)
UNITED
STATES
SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
FORM
8-K
CURRENT REPORT
PURSUANT TO SECTION 13 OR 15(d) OF THE
SECURITIES EXCHANGE ACT OF 1934
February 10, 2021
Date of Report (Date of earliest event reported)
LIGHTPATH TECHNOLOGIES, INC.
(Exact name of registrant as specified in its charter)
Delaware
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000-27548
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86-0708398
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(State or other jurisdiction of incorporation or
organization)
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(Commission File Number)
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(I.R.S. Employer Identification Number)
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2603 Challenger Tech Court, Suite 100
Orlando, Florida 32826
(Address of principal executive office, including zip
code)
(407) 382-4003
(Registrant’s telephone number, including area
code)
Check
the appropriate box below if the Form 8-K filing is intended to
simultaneously satisfy the filing obligation of the registrant
under any of the following provisions:
☐ Written communications pursuant to Rule 425
under the Securities Act (17 CFR 230.425)
☐ Soliciting material pursuant to Rule 14a-12
under the Exchange Act (17 CFR 240.14a-12)
☐ Pre-commencement communications pursuant to
Rule 14d-2(b) under the Exchange Act (17 CFR
240.14d-2(b))
☐ Pre-commencement communications pursuant to
Rule 13e-4(c) under the Exchange Act (17 CFR
240.13e-4(c))
Securities registered pursuant to Section 12(b) of the
Act:
Title of each class
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Trading Symbol(s)
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Name of each exchange on which registered
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Class A
Common Stock, par value $0.01
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LPTH
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The
Nasdaq Stock Market, LLC
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Indicate
by check mark whether the registrant is an emerging growth company
as defined in Rule 405 of the Securities Act of 1933 (17 CFR
§230.405) or Rule 12b-2 of
the Securities Exchange Act of 1934 (17 CFR §240.12b-2 of this
chapter).
Emerging
growth company ☐
If an
emerging growth company, indicate by check mark if the registrant
has elected not to use the extended transition period for complying
with any new or revised financial accounting standards providing
pursuant to Section 13(a) of the Exchange Act. ☐
LightPath
Technologies, Inc.
Form
8-K
Item 5.02. Departure of Directors or Principal Officers; Election
of Directors; Appointment of Certain Officers; Compensatory
Arrangements of Certain Officers.
On
February 10, 2021, Dr. Stephen R. J. Brueck notified LightPath
Technologies, Inc. (the “Company”) of his intent to
retire as a director, effective immediately. Dr. Brueck has served
as one of the Company’s directors since July 2001. Dr.
Brueck’s departure is not due to any disagreement with the
Company. As disclosed in the Company’s Definitive Proxy
Statement filed on Schedule 14A on October 1, 2020, Dr. Brueck had
elected to defer receipt of certain vested restricted stock unit
shares until after leaving the Board of Directors. These restricted
stock unit shares were awarded as part of his annual director
compensation beginning in 2004; the related compensation expense
was recognized in the Company’s financial statements each
period as the compensation was earned and the shares were included
in the weighted average diluted number of shares used to calculate
the Company’s earnings per share, as appropriate. As such, in
connection with his retirement, Dr. Brueck was issued 419,176
shares of the Company’s Class A Common Stock.
LightPath’s
Chairman of the Company’s Board of Directors, Robert Ripp,
along with the other directors and the executive management team
recognize Dr. Brueck’s dedication and many contributions to
the Company and wish him well in his retirement.
SIGNATURES
Pursuant
to the requirements of the Securities Exchange Act of 1934, as
amended, the registrant has duly caused this Report to be signed in
its behalf by the undersigned, thereunto duly
authorized.
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LIGHTPATH
TECHNOLOGIES, INC.
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Dated:
February 16, 2021
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By:
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/s/
Donald O. Retreage, Jr.
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Donald O. Retreage, Jr.,
Chief Financial Officer
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