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

 

November 20, 2024

Date of Report (Date of earliest event reported)

 

LIGHTPATH TECHNOLOGIES, INC.

(Exact name of registrant as specified in its charter)

  

Delaware

 

000-27548

 

86-0708398

(State or other jurisdiction of

incorporation or organization)

 

(Commission

File Number)

 

(I.R.S. Employer

Identification Number)

 

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

 

Trading Symbol(s)

 

Name of each exchange on which registered

Class A Common Stock, par value $0.01

 

LPTH

 

The Nasdaq Stock Market, LLC

 

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 5.07. Submission of Matters to a Vote of Security Holders.

 

On November 20, 2024, LightPath Technologies, Inc. (the “Company”) held its Annual Meeting of Stockholders (the “Meeting”).  A total of 39,612,737 shares of Class A common stock were issued and outstanding as of the record date of the Meeting, October 3, 2024, and a total of 27,710,149 shares of Class A common stock were present or represented by proxy and voted at the Meeting, constituting a quorum.  The following proposals, as described in greater detail in our Definitive Proxy Statement and the Proxy Supplement filed with the Securities and Exchange Commission on October 7, 2024 and November 15, 2024, respectively (collectively, the “Proxy Statement”), were voted on at the Meeting:

 

Proposal 1 – To elect Class II directors to the Company’s Board of Directors.  Our stockholders duly reelected Mr. Scott Faris and elected Mr. Eric Creviston by at least a plurality of the votes cast, to serve as Class II directors until his or her respective successor is elected and qualified or until his or her earlier resignation or removal.  The results of the voting were as follows:

 

 

 

For

 

 

Withheld

 

 

Broker Non-Votes

 

M. Scott Faris

 

 

19,567,685

 

 

 

1,332,471

 

 

 

6,809,993

 

S. Eric Creviston

 

 

19,988,121

 

 

 

912,035

 

 

 

6,809,993

 

 

Proposal 2 – To hold a stockholder advisory vote on the compensation of our named executive officers disclosed in the Proxy Statement under the section titled “Executive Compensation,” including the compensation tables and other narrative executive compensation disclosures therein, required by Item 402 of Securities and Exchange Commission Regulation S-K. Our stockholders approved, on a non-binding, advisory basis, the executive compensation of the Company’s named executive officers. The results of the voting were as follows:

 

 

 

For

 

 

Against

 

 

Abstain

 

 

Broker Non-Votes

 

 

 

 

19,221,324

 

 

 

1,545,049

 

 

 

133,783

 

 

 

6,809,993

 

 

 
2

 

  

 

LIGHTPATH TECHNOLOGIES, INC.

 

 

 

 

 

Dated: November 22, 2024

By:  

/s/ Albert Miranda  

 

 

 

Albert Miranda, Chief Financial Officer

 

 

 
3

 

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Cover
Nov. 20, 2024
Cover [Abstract]  
Entity Registrant Name LIGHTPATH TECHNOLOGIES, INC.
Entity Central Index Key 0000889971
Document Type 8-K
Amendment Flag false
Entity Emerging Growth Company false
Document Period End Date Nov. 20, 2024
Entity File Number 000-27548
Entity Incorporation State Country Code DE
Entity Tax Identification Number 86-0708398
Entity Address Address Line 1 2603 Challenger Tech Court
Entity Address Address Line 2 Suite 100
Entity Address City Or Town Orlando
Entity Address State Or Province FL
Entity Address Postal Zip Code 32826
City Area Code 407
Local Phone Number 382-4003
Security 12b Title Class A Common Stock, par value $0.01
Trading Symbol LPTH
Security Exchange Name NASDAQ
Written Communications false
Soliciting Material false
Pre Commencement Tender Offer false
Pre Commencement Issuer Tender Offer false
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