<SEC-DOCUMENT>0001654954-20-000537.txt : 20200116
<SEC-HEADER>0001654954-20-000537.hdr.sgml : 20200116
<ACCEPTANCE-DATETIME>20200116160503
ACCESSION NUMBER:		0001654954-20-000537
CONFORMED SUBMISSION TYPE:	8-K
PUBLIC DOCUMENT COUNT:		1
CONFORMED PERIOD OF REPORT:	20200114
ITEM INFORMATION:		Notice of Delisting or Failure to Satisfy a Continued Listing Rule or Standard; Transfer of Listing
FILED AS OF DATE:		20200116
DATE AS OF CHANGE:		20200116

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:		8-K
		SEC ACT:		1934 Act
		SEC FILE NUMBER:	000-27548
		FILM NUMBER:		20530971

	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>8-K
<SEQUENCE>1
<FILENAME>ltph_8k.htm
<DESCRIPTION>CURRENT REPORT
<TEXT>
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UNITED STATES</font></div>
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CURRENT REPORT</font></div>
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PURSUANT TO SECTION 13 OR 15(d) OF THE</font></div>
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SECURITIES EXCHANGE ACT OF 1934</font></div>
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January 14, 2020</font></div>
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LIGHTPATH TECHNOLOGIES, INC.</font></div>
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Delaware</font></div>
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86-0708398</font></div>
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2603 Challenger Tech Court, Suite 100</font></div>
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<font style="font-weight: bold; color: #000000; font-family: Times New Roman; font-size: 13px">
Orlando, Florida 32826</font></div>
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<font style="font-family: Times New Roman; font-size: 13px">Pre-commencement
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Title of each class</font></div>
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<font style="font-family: Times New Roman; font-size: 13px">Class A
Common Stock, par value $0.01</font></div>
</td>
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<div style="text-align: center; margin-left: 0px; margin-right: 0px; text-indent: 0px">
<font style="font-family: Times New Roman; font-size: 13px">LPTH</font></div>
</td>
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<font style="font-family: Times New Roman; font-size: 13px">The
Nasdaq Stock Market, LLC</font></div>
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<font style="font-family: Times New Roman; font-size: 13px">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
<font style="color: #000000">&#xA7;</font>230.405) or Rule 12b-2 of
the Securities Exchange Act of 1934 (17 CFR <font style="color: #000000">&#xA7;</font>240.12b-2 of this
chapter).</font></div>
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<font style="font-family: Times New Roman; font-size: 13px">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. <font style="color: #000000">&#x2610;</font></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
8-K</font></div>
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<font style="color: #000000; font-family: Times New Roman; font-size: 13px">
&#xA0;</font></div>
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<font style="font-weight: bold; color: #000000; font-family: Times New Roman; font-size: 13px">
Item 3.01. Notice of Delisting or Failure to Satisfy a Continued
Listing Rule or Standard; Transfer of Listing.</font></div>
<div style="text-align: justify; margin-left: 0px; margin-right: 0px; text-indent: 0px">
<font style="color: #000000; 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">As
previously disclosed by LightPath Technologies, Inc. (the
&#x201C;Company&#x201D;) on that certain Current Report on Form 8-K
filed on July 18, 2019 with the U.S. Securities and Exchange
Commission (the &#x201C;SEC&#x201D;), on July 15, 2019, the Company
received a written notice (the &#x201C;Initial Notice&#x201D;) from
the Listing Qualifications department of The Nasdaq Stock Market
LLC (&#x201C;Nasdaq&#x201D;) indicating that the Company was not in
compliance with Nasdaq Listing Rule 5550(a)(2), which requires a
minimum closing bid price of $1.00 per share of the Company&#x2019;s
Class A common stock (the &#x201C;Minimum Bid Price
Requirement&#x201D;). The Initial Notice provided the Company 180
calendar days, or until January 13, 2020, to regain compliance with
Nasdaq Listing Rule 5550(a)(2).</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">The
Company determined that it would not regain compliance with the
Minimum Bid Price Requirement by the January 13, 2020 deadline.
Accordingly, on December 27, 2019, the Company submitted a request
to the Listing Qualification department of Nasdaq seeking an
additional 180-day period to regain compliance with the Minimum Bid
Price Requirement. On January 14, 2020, the Company received a
written notice (the &#x201C;Notice&#x201D;) from the Listing
Qualifications department of Nasdaq that the Company had been
granted an additional 180 calendar days, or until July 13, 2020, to
regain compliance with the Minimum Bid Price Requirement. The
Notice has no immediate effect on the listing or trading of the
Company&#x2019;s Class A common stock and the Class A common stock
will continue to trade on The Nasdaq Capital Market under the
symbol &#x201C;LPTH.&#x201D;</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">Nasdaq&#x2019;s
determination to grant an extension was based on the Company
meeting the continued listing requirement for market value of
publicly held shares and all other applicable requirements for
initial listing on The Nasdaq Capital Market, with the exception of
the bid price requirement, and the Company&#x2019;s written notice
of its intention to cure the deficiency during the second
compliance period by effecting a reverse stock split, if necessary.
These initial listing requirements include having
stockholders&#x2019; equity of at least $5 million, having an
operating history of at least two years, having at least 1 million
in unrestricted publicly held shares, having at least 300
unrestricted round lot stockholders, having at least three market
makers, and being in compliance with Nasdaq&#x2019;s corporate
governance standards.</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">The
Notice also stated that if at any time during this additional time
period the closing bid price of the Company&#x2019;s Class A common
stock is at least $1.00 per share for a minimum of 10 consecutive
business days, Nasdaq will provide written confirmation of
compliance and this matter will be closed. If, however, compliance
cannot be achieved by July 13, 2020, Nasdaq will provide written
notification that the Company&#x2019;s Class A common stock will be
delisted from The Nasdaq Capital Market. At that time, the Company
may appeal Nasdaq&#x2019;s determination to a Hearings
Panel.</font></div>
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<font style="font-family: Times New Roman; font-size: 13px">To
regain compliance with the Minimum Bid Price Requirement, the
Company intends to actively monitor the closing bid price of its
Class A common stock and will consider all available options to
regain compliance by July 13, 2020 and maintain its Nasdaq listing,
including such actions as effecting a reverse stock split. A
reverse stock split would need to be approved by the board of
directors and submitted to the Company&#x2019;s stockholders for
approval. Even if the Company chooses to pursue a reverse stock
split there can be no assurance that the stockholders would approve
such a reverse stock split, that the Company will regain compliance
with the Minimum Bid Price Requirement, or maintain its compliance
with any of the other Nasdaq continued listing
requirements.</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">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.</font></div>
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<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:
January 16, 2020</font></div>
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<font style="font-family: Times New Roman; font-size: 13px">By:<font style="color: #000000">&#xA0;&#xA0;</font></font></div>
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<font style="font-family: Times New Roman; font-size: 13px">/s/
Donald O. Retreage, Jr. <font style="color: #000000">&#xA0;</font></font></div>
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<font style="color: #000000; font-style: italic; font-family: Times New Roman; font-size: 13px">
Donald O. Retreage, Jr., Chief Financial Officer</font></div>
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