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OMB APPROVAL
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OMB Number 3235-0104
Expires: April 30, 1997
Estimated average burden
hours per response ....... 0.5
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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
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1. Name and Address of Reporting Person*
Dietze Katherine E.
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(Last) (First) (Middle)
6820 Academy Parkway East, N.E.
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(Street)
Albuquerque NM 87109
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(City) (State) (Zip)
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2. Date of Event Requiring Statement (Month/Day/Year)
10-19-98
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3. IRS or Social Security Number of Reporting Person (Voluntary)
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4. Issuer Name and Ticker or Trading Symbol
LighPath Technologies, Inc LPTHA
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5. Relationship of Reporting Person to Issuer
(Check all applicable)
[X] Director [ ] 10% Owner
[ ] Officer (give title below) [ ] Other (specify below)
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6. If Amendment, Date of Original (Month/Year)
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7. Individual or Joint/Group Filing (Check applicable line)
[X] Form Filed by One Reporting Person
[ ] Form Filed by More than One Reporting Person
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<PAGE>
FORM 3 (continued)
Table I -- Non-Derivative Securities Beneficially Owned
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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)
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* 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)
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<TABLE>
<CAPTION>
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)
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<S> <C> <C> <C> <C> <C> <C> <C>
Stock Option- 9/99
Director Plan to 10/2001 10/2008 Class A Common 10,000 $2.84 D
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</TABLE>
Explanation of Responses:
/s/ Katherine E. Dietze 10-26-98
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**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.
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