<SEC-DOCUMENT>0001654954-19-006745.txt : 20190530
<SEC-HEADER>0001654954-19-006745.hdr.sgml : 20190530
<ACCEPTANCE-DATETIME>20190530163516
ACCESSION NUMBER:		0001654954-19-006745
CONFORMED SUBMISSION TYPE:	SD
PUBLIC DOCUMENT COUNT:		1
<RULE>
<RULE-NAME>13p-1
<ITEM>
<ITEM-NUMBER>1.01
<ITEM-PERIOD>20181231
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FILED AS OF DATE:		20190530
DATE AS OF CHANGE:		20190530

FILER:

	COMPANY DATA:	
		COMPANY CONFORMED NAME:			LIGHTPATH TECHNOLOGIES INC
		CENTRAL INDEX KEY:			0000889971
		STANDARD INDUSTRIAL CLASSIFICATION:	SEMICONDUCTORS & RELATED DEVICES [3674]
		IRS NUMBER:				860708398
		STATE OF INCORPORATION:			DE
		FISCAL YEAR END:			0630

	FILING VALUES:
		FORM TYPE:		SD
		SEC ACT:		1934 Act
		SEC FILE NUMBER:	000-27548
		FILM NUMBER:		19866990

	BUSINESS ADDRESS:	
		STREET 1:		2603 CHALLENGER TECH CT
		STREET 2:		SUITE 100
		CITY:			ORLANDO
		STATE:			FL
		ZIP:			32826
		BUSINESS PHONE:		4073824003
</SEC-HEADER>
<DOCUMENT>
<TYPE>SD
<SEQUENCE>1
<FILENAME>lpth_sd.htm
<DESCRIPTION>FORM SD
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FORM SD</font></div>
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LIGHTPATH TECHNOLOGIES, INC.</font></div>
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2603 Challenger Tech Court, Suite 100</font></div>
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Orlando, Florida 32826</font></div>
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Dorothy M. Cipolla</font></div>
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(407) 382-4003</font></div>
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Check the appropriate box to indicate the rule pursuant to which
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<font style="color: #000000; font-family: Times New Roman; font-size: 13px">[&#xA0;X&#xA0;]&#xA0;&#xA0;
Rule 13p-1 under the Securities Exchange Act (17 CFR 240.13p-1) for
the reporting period from January 1 to December 31,
2018.</font></div>
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<font style="font-family: Times New Roman; font-size: 13px">LightPath
Technologies, Inc.</font></div>
<div style="text-align: center; margin-left: 0px; margin-right: 0px; text-indent: 0px">
<font style="font-family: Times New Roman; font-size: 13px">Form
SD</font></div>
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<font style="font-family: Times New Roman; font-size: 13px">&#xA0;</font></div>
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<font style="font-weight: bold; font-family: Times New Roman; font-size: 13px">
Section 1 &#x2013; Conflict Minerals Disclosure</font></div>
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Item 1.01 Conflict Minerals Disclosure and Report</font></div>
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<font style="font-family: Times New Roman; font-size: 13px">&#xA0;</font></div>
<div style="text-align: justify; margin-left: 0px; margin-right: 0px; text-indent: 0px">
<font style="text-decoration: underline; font-family: Times New Roman; font-size: 13px">
Introduction</font></div>
<div style="text-align: justify; margin-left: 0px; margin-right: 0px; text-indent: 0px">
<font style="font-family: Times New Roman; font-size: 13px">&#xA0;</font></div>
<div style="text-align: justify; margin-left: 0px; margin-right: 0px; text-indent: 0px">
<font style="font-family: Times New Roman; font-size: 13px">This
Specialized Disclosure Report on Form SD (this
&#x201C;Report&#x201D;) of LightPath Technologies, Inc.
(&#x201C;LightPath,&#x201D; the &#x201C;Company,&#x201D;
&#x201C;we,&#x201D; &#x201C;our,&#x201D; or &#x201C;us&#x201D;) for the
calendar year ended December 31, 2018 was prepared in accordance
with Rule 13p-1 under the Securities Exchange Act of 1934, as
amended (&#x201C;Rule 13p-1&#x201D;). Rule 13p-1, along with Form SD
(collectively, the &#x201C;Conflict Rules&#x201D;), require public
companies to annually disclose information about their use of
specific conflict minerals originating and financing armed groups
in the Democratic Republic of the Congo (&#x201C;DRC&#x201D;) and
adjoining countries (together with the DRC, &#x201C;Covered
Countries&#x201D;) that are &#x201C;necessary to the functionality or
production of a product&#x201D; manufactured by those companies or
contracted by those companies to be manufactured. The term
&#x201C;conflict minerals&#x201D; includes tantalum, tin, gold or
tungsten.</font></div>
<div style="text-align: justify; margin-left: 0px; margin-right: 0px; text-indent: 0px">
<font style="font-family: Times New Roman; font-size: 13px">&#xA0;</font></div>
<div style="text-align: justify; margin-left: 0px; margin-right: 0px; text-indent: 0px">
<font style="font-family: Times New Roman; font-size: 13px">In
accordance with the Conflict Rules, a copy of this Report is
available on our website at <font style="color: #000000">www.lightpath.com</font> under the
&#x201C;Technical/Materials Compliance/Form SD&#x201D;
tab.</font></div>
<div style="text-align: justify; margin-left: 0px; margin-right: 0px; text-indent: 0px">
<font style="font-family: Times New Roman; font-size: 13px">&#xA0;</font></div>
<div style="text-align: justify; margin-left: 0px; margin-right: 0px; text-indent: 0px">
<font style="text-decoration: underline; font-family: Times New Roman; font-size: 13px">
Company Overview</font></div>
<div style="text-align: justify; margin-left: 0px; margin-right: 0px; text-indent: 0px">
<font style="font-family: Times New Roman; font-size: 13px">&#xA0;</font></div>
<div style="text-align: justify; margin-left: 0px; margin-right: 0px; text-indent: 0px">
<font style="font-family: Times New Roman; font-size: 13px">We are
a global, vertically integrated provider of optics, photonics and
infrared solutions for the industrial, defense, telecommunications,
testing and measurement, and medical industries. We design,
manufacture, and distribute proprietary optical and infrared
components including molded glass aspheric lenses and assemblies,
infrared lenses and thermal imaging assemblies and fused fiber
collimators used to produce products that manipulate light. We also
offer custom optical assemblies, including full engineering design
support. The Company is headquartered in Orlando, Florida, with
manufacturing and sales offices in New York, Latvia, and
China.</font></div>
<div style="text-align: justify; margin-left: 0px; margin-right: 0px; text-indent: 0px">
<font style="font-family: Times New Roman; font-size: 13px">&#xA0;</font></div>
<div style="text-align: justify; margin-left: 0px; margin-right: 0px; text-indent: 0px">
<font style="font-family: Times New Roman; font-size: 13px">Our
wholly-owned subsidiary, ISP Optics Corporation
(&#x201C;ISP&#x201D;), manufactures a full range of infrared products
from high performance MWIR and LWIR lenses and lens assemblies.
ISP&#x2019;s infrared lens assembly product line includes athermal
lens systems used in cooled and un-cooled thermal imaging cameras.
Manufacturing is performed in-house to provide precision optical
components including spherical, aspherical and diffractive coated
infrared lenses. ISP&#x2019;s optics processes allow it to
manufacture its products from all important types of infrared
materials and crystals. Manufacturing processes include CNC
grinding and CNC polishing, diamond turning, continuous and
conventional polishing, optical contacting and advanced coating
technologies.</font></div>
<div style="text-align: justify; margin-left: 0px; margin-right: 0px; text-indent: 0px">
<font style="font-family: Times New Roman; font-size: 13px">&#xA0;</font></div>
<div style="text-align: justify; margin-left: 0px; margin-right: 0px; text-indent: 0px">
<font style="text-decoration: underline; font-family: Times New Roman; font-size: 13px">
Framework of Conflict Minerals Program</font></div>
<div style="text-align: justify; margin-left: 0px; margin-right: 0px; text-indent: 0px">
<font style="font-family: Times New Roman; font-size: 13px">&#xA0;</font></div>
<div style="text-align: justify; margin-left: 0px; margin-right: 0px; text-indent: 0px">
<font style="font-family: Times New Roman; font-size: 13px"><font style="font-style: italic">
Team.</font> We assembled an internal team (the &#x201C;Team&#x201D;)
to oversee compliance with the Conflict Rules, including developing
processes and procedures, as well as monitoring developments,
initiatives and &#x201C;best practices.&#x201D; The Team consists of
our VP &amp; Executive Director of Compliance, Treasury &amp; Tax,
Director of Quality, Manufacturing Engineering Manager, Quality
Assurance Managers, Coating Managers, and Purchasing Managers. We
believe input from various departments is beneficial for the
purpose of overseeing our compliance with the Conflict Rules and
implementing our processes and procedures related to the Conflict
Rules.</font></div>
<div style="text-align: justify; margin-left: 0px; margin-right: 0px; text-indent: 0px">
<font style="font-family: Times New Roman; font-size: 13px">&#xA0;</font></div>
<div style="text-align: justify; margin-left: 0px; margin-right: 0px; text-indent: 0px">
<font style="font-family: Times New Roman; font-size: 13px"><font style="font-style: italic">
Policy Statement.</font> We adopted a policy statement concerning
our principles on the use of conflict minerals from the Covered
Countries and our aim to only use suppliers that source from
conflict-free smelters and refiners. This policy statement can be
found on our website at <font style="color: #000000">www.lightpath.com</font> under the
&#x201C;Technical/Materials Compliance/Conflict Minerals&#x201D;
tab.</font></div>
<div style="text-align: justify; margin-left: 0px; margin-right: 0px; text-indent: 0px">&#xA0;
<font style="font-family: Times New Roman; font-size: 13px"><br>
</font></div>
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</div>
<div style="text-align: justify; margin-left: 0px; margin-right: 0px; text-indent: 0px">
<font style="font-family: Times New Roman; font-size: 13px;">&#xA0;</font></div>
<div style="text-align: justify; margin-left: 0px; margin-right: 0px; text-indent: 0px">
<font style="text-decoration: underline; font-family: Times New Roman; font-size: 13px">
Reasonable Country of Origin Inquiry</font></div>
<div style="text-align: justify; margin-left: 0px; margin-right: 0px; text-indent: 0px">
<font style="font-family: Times New Roman; font-size: 13px">&#xA0;</font></div>
<div style="text-align: justify; margin-left: 0px; margin-right: 0px; text-indent: 0px">
<font style="font-family: Times New Roman; font-size: 13px">To be
within the purview of the Conflict Rules, a reporting issuer must
sell products that it manufactures or contracts to manufacture,
such products must contain conflict minerals, and such conflict
minerals must be necessary to the functionality or production of
the products. We sell products that we manufacture or contract to
manufacture, thus meeting these parts of the test. To determine if
any conflict minerals are incorporated into our products, including
parts and components of such products, the Team conducted an
inventory and analysis of all components of our products, which
included reviewing bills of materials, product specifications and
other relevant documentation. The Team concluded that certain of
our products contain the conflict minerals gold, tantalum, tungsten
and tin. The Team also determined that the conflict mineral
tungsten is used in the molds, rings and sleeves as tooling
necessary to manufacture molded lenses; however, the Conflict Rules
do not require us to take any further action with respect to the
tungsten used in tooling.</font></div>
<div style="text-align: justify; margin-left: 0px; margin-right: 0px; text-indent: 0px">
<font style="font-family: Times New Roman; font-size: 13px">&#xA0;</font></div>
<div style="text-align: justify; margin-left: 0px; margin-right: 0px; text-indent: 0px">
<font style="font-family: Times New Roman; font-size: 13px">Next,
the Team analyzed whether any of the conflict minerals are
&#x201C;necessary to the functionality of a product&#x201D; or
&#x201C;necessary to the production of a product.&#x201D; To
determine whether any of the conflict minerals are &#x201C;necessary
to the functionality of a product,&#x201D; the Team considered
whether a conflict mineral is intentionally added to a product or a
component of a product and is not a naturally occurring by-product,
whether a conflict mineral is necessary to a product&#x2019;s
generally expected function, use or purpose, and, if any of the
conflict minerals are incorporated for purposes of ornamentation,
decoration or embellishment, whether the primary purpose of such
product is ornamentation, decoration or embellishment. To determine
whether any of the conflict minerals are &#x201C;necessary to the
production of a product,&#x201D; the Team considered whether a
conflict mineral is intentionally included in the product&#x2019;s
production process (other than a conflict mineral included in a
tool, machine or indirect equipment used to produce the product),
whether a conflict mineral is necessary to produce the product and
whether a conflict mineral is included as part of a component of
the product originally manufactured by a third party. The Team
determined the following with respect to each of the listed
conflict minerals:</font></div>
<div style="text-align: justify; margin-left: 0px; margin-right: 0px; text-indent: 0px">
<font style="font-family: Times New Roman; font-size: 13px">&#xA0;</font></div>
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<font style="font-family: Times New Roman; font-size: 13px"><font style="font-style: italic">
Gold</font>. At a customer&#x2019;s request, our precision molded
aspheric lenses may be mounted onto gold plated holders; however,
during calendar 2018, no customer requested a gold-plated holder.
One of our collimator applications also may be gold coated at the
request of a customer; however, during calendar year 2018, no
customer requested a gold coated collimator application. Finally,
gold is an ingredient used in the anti-reflective coating that is
applied to some of our lenses at the request of a customer. The
Team concluded that with respect to each of these products, gold is
intentionally added and is necessary to the products&#x2019;
generally expected function, use or purpose.</font></div>
<div style="text-align: justify; margin-left: 0px; margin-right: 0px; text-indent: 0px">
<font style="font-family: Times New Roman; font-size: 13px">&#xA0;</font></div>
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<font style="font-family: Times New Roman; font-size: 13px"><font style="font-style: italic">
Tantalum</font>. Tantalum oxide is an ingredient used in the
anti-reflective coating that is applied to some of our lenses at
the request of a customer. The Team concluded that, when used,
tantalum oxide is intentionally added and is necessary to such
products&#x2019; generally expected function, use or
purpose.</font></div>
<div style="text-align: justify; margin-left: 0px; margin-right: 0px; text-indent: 0px">
<font style="font-family: Times New Roman; font-size: 13px">&#xA0;</font></div>
<div style="text-align: justify; margin-left: 0px; margin-right: 0px; text-indent: 0px">
<font style="font-family: Times New Roman; font-size: 13px"><font style="font-style: italic">
Tungsten</font>. Tungsten is an ingredient used in the
manufacturing of the glass preform that is molded into some of our
lenses. The Team concluded that, when used, tungsten is
intentionally added and is necessary to such products&#x2019;
generally expected function, use or purpose.</font></div>
<div style="text-align: justify; margin-left: 0px; margin-right: 0px; text-indent: 0px">
<font style="font-family: Times New Roman; font-size: 13px">&#xA0;</font></div>
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<font style="font-family: Times New Roman; font-size: 13px"><a name="_Hlk10103306"><!--anchor--></a><font style="font-style: italic">Tin.</font> At a customer&#x2019;s request, one
of our collimator applications may be tin coated. During calendar
year 2018, no customer requested a tin coated collimator
application. The Team concluded that, when used, tin is
intentionally added and is necessary to such products&#x2019;
generally expected function, use or purpose.</font></div>
<div style="text-align: justify; margin-left: 0px; margin-right: 0px; text-indent: 0px">
<font style="font-family: Times New Roman; font-size: 13px">&#xA0;</font></div>
<div style="text-align: justify; margin-left: 0px; margin-right: 0px; text-indent: 0px">
<font style="font-family: Times New Roman; font-size: 13px">After
concluding that conflict minerals are necessary to the
functionality of certain of our products, the Team conducted a
reasonable country of origin inquiry based on the OECD Due
Diligence Guidance for Responsible Supply Chains of Minerals from
Conflict-Affected and High-Risk Areas to determine if any of the
gold, tantalum or tungsten in our products originated in the
Covered Countries. We do not purchase conflict minerals directly
from mines, smelters, or refiners, and therefore, there are many
third-parties in the supply chain between us and the original
sources of the conflict minerals contained in our products.
Accordingly, our reasonable country of origin inquiry focused on
our first-tier suppliers, and we are relying on these direct
suppliers (and they in turn are relying upon their suppliers) for
information regarding the origin of the gold, tantalum or tungsten
in our products. The Team identified our first-tier suppliers: one
gold supplier, five tantalum suppliers, and five tungsten
suppliers. The Team sent inquiries to each of these suppliers
regarding the source of the conflict minerals either used in
components or parts supplied to us or sold to us as raw materials
and requested each such supplier provide a representation letter or
other written response regarding the source of the conflict
minerals or to complete and return the Electronic Industry
Citizenship Coalition and Global e-Sustainability
(&#x201C;EICC/GeSI&#x201D;) Conflict Minerals Reporting Template. The
results of the Team&#x2019;s inquiries with respect to each of the
listed conflict minerals are as follows:</font></div>
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<font style="font-family: Times New Roman; font-size: 13px">&#xA0;</font></div>
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<font style="font-family: Times New Roman; font-size: 13px"><font style="font-style: italic">
Gold</font>. The one gold supplier provided a written response
indicating that its or its suppliers&#x2019; gold either comes from
a recycler or scrap supplier or did not originate from the Covered
Countries.</font></div>
<div style="text-align: justify; margin-left: 0px; margin-right: 0px; text-indent: 0px">
<font style="font-family: Times New Roman; font-size: 13px">&#xA0;</font></div>
<div style="text-align: justify; margin-left: 0px; margin-right: 0px; text-indent: 0px">
<font style="font-family: Times New Roman; font-size: 13px"><font style="font-style: italic">
Tantalum</font>. All five of our tantalum suppliers provided a
written response indicating its or its suppliers&#x2019; tantalum
either comes from a recycler or scrap supplier or did not originate
from the Covered Countries.</font></div>
<div style="text-align: justify; margin-left: 0px; margin-right: 0px; text-indent: 0px">
<font style="font-family: Times New Roman; font-size: 13px">&#xA0;</font></div>
<div style="text-align: justify; margin-left: 0px; margin-right: 0px; text-indent: 0px">
<font style="font-family: Times New Roman; font-size: 13px"><font style="font-style: italic">
Tungsten</font>. All five of our tungsten suppliers provided a
written response indicating its or its suppliers&#x2019; tungsten
either comes from a recycler or scrap supplier or did not originate
from the Covered Countries.</font></div>
<div style="text-align: justify; margin-left: 0px; margin-right: 0px; text-indent: 0px">
<font style="font-family: Times New Roman; font-size: 13px">&#xA0;</font></div>
<div style="text-align: justify; margin-left: 0px; margin-right: 0px; text-indent: 0px">
<font style="text-decoration: underline; font-family: Times New Roman; font-size: 13px">
Conclusion Based on Reasonable Country of Origin
Inquiry</font></div>
<div style="text-align: justify; margin-left: 0px; margin-right: 0px; text-indent: 0px">
<font style="font-family: Times New Roman; font-size: 13px">&#xA0;</font></div>
<div style="text-align: justify; margin-left: 0px; margin-right: 0px; text-indent: 0px">
<font style="font-family: Times New Roman; font-size: 13px">We have
concluded in good faith that during calendar year 2018, (i) we
manufactured and contracted to manufacture products as to which
conflict minerals are necessary to the functionality or production
of our products and (ii) based on our reasonable country of origin
inquiry, we have no reason to believe that any of the conflict
minerals necessary to the functionality or production of our
products may have originated in the Covered Countries.</font></div>
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<font style="font-family: Times New Roman; font-size: 13px">&#xA0;</font></div>
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<font style="font-weight: bold; font-family: Times New Roman; font-size: 13px">
Item 1.02 Exhibit</font></div>
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<font style="font-family: Times New Roman; font-size: 13px">Not
required.</font></div>
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<font style="font-family: Times New Roman; font-size: 13px">SIGNATURES</font></div>
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<font style="font-family: Times New Roman; font-size: 13px">&#xA0;</font></div>
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<font style="font-family: Times New Roman; font-size: 13px">Pursuant
to the requirements of the Securities Exchange Act of 1934, as
amended, the registrant has duly caused this Report to be signed on
its behalf by the duly authorized undersigned.</font></div>
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<div style="text-align: left; margin-left: 24px; margin-right: 0px; text-indent: -24px">
<font style="font-family: Times New Roman; font-size: 13px">LIGHTPATH
TECHNOLOGIES, INC.</font></div>
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<font style="font-family: Times New Roman; font-size: 13px">Dated:
May 30, 2019</font></div>
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<font style="font-family: Times New Roman; font-size: 13px">By:</font></div>
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<div style="text-align: left; margin-left: 24px; margin-right: 0px; text-indent: -24px">
&#xA0;<font style="font-family: Times New Roman; font-size: 13px">/s/ Dorothy M.
Cipolla</font></div>
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<font style="font-style: italic; font-family: Times New Roman; font-size: 13px">
Dorothy M. Cipolla,</font></div>
<div style="text-align: left; margin-left: 12px; margin-right: 0px; text-indent: -12px">
<font style="font-style: italic; font-family: Times New Roman; font-size: 13px">
Vice President and Executive Director of Compliance, Treasury and
Tax</font></div>
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