Other Information
+Added: During the three months ended September 30, 2023, no director or officer of the Company adopted or terminated a “Rule 10b5-1 trading arrangement” or “non-Rule 10b5-1 trading arrangement,” as each term is defined in Item 408(a) of Regulation S-K.
The following exhibits are filed herewith as a part of this report.
−Removed: Exhibit Number Description
Exhibit Number
29 unchanged sentences
000-27548) filed with the Securities and Exchange Commission on February 3, 2021, and is incorporated herein by reference thereto.
−Removed: Form of Securities Purchase Agreement, dated as of January 12, 2023, between the Company and each purchaser named in the signature pages thereto, which was filed as Exhibit 10.1 to our Current Report on Form 8-K (File No:
−Removed: 000-27548) filed with the Securities and Exchange Commission on January 12, 2023, and is incorporated herein by reference thereto.
−Removed: Fifth Amendment to Loan Agreement, dated May 9, 2023, by and between LightPath Technologies, Inc.
−Removed: and BankUnited, N.A.*
Certification of Chief Executive Officer pursuant to Rule 13a-14(a) of the Securities Exchange Act of 1934*
14 unchanged sentences
LIGHTPATH TECHNOLOGIES, INC.
−Removed: May 11, 2023 By:
+Added: November 9, 2023
/s/ Shmuel Rubin
President and Chief Executive Officer
+Added: November 9, 2023
/s/ Albert Miranda
2 unchanged sentences
Compared sentence by sentence after normalising whitespace, quotation marks, case and digits, so re-formatting and restated figures do not read as changed language. Wording changes appear as one removal and one addition. The current filing and the prior one are authoritative.