<SEC-DOCUMENT>0001654954-21-008539.txt : 20210805
<SEC-HEADER>0001654954-21-008539.hdr.sgml : 20210805
<ACCEPTANCE-DATETIME>20210805083529
ACCESSION NUMBER:		0001654954-21-008539
CONFORMED SUBMISSION TYPE:	8-K
PUBLIC DOCUMENT COUNT:		2
CONFORMED PERIOD OF REPORT:	20210805
ITEM INFORMATION:		Results of Operations and Financial Condition
ITEM INFORMATION:		Financial Statements and Exhibits
FILED AS OF DATE:		20210805
DATE AS OF CHANGE:		20210805

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:		211146510

	BUSINESS ADDRESS:	
		STREET 1:		2603 CHALLENGER TECH CT
		STREET 2:		SUITE 100
		CITY:			ORLANDO
		STATE:			FL
		ZIP:			32826
		BUSINESS PHONE:		4073824003
</SEC-HEADER>
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<FILENAME>lpth_8k.htm
<DESCRIPTION>FORM 8-K
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UNITED STATES</font></div>
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SECURITIES AND EXCHANGE COMMISSION</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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August 5, 2021</font></div>
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Date of Report (Date of earliest event reported)</font></div>
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LIGHTPATH TECHNOLOGIES, INC.</font></div>
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Delaware</font></div>
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000-27548</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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Orlando, Florida 32826</font></div>
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(407) 382-4003</font></div>
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under any of the following provisions:</font></div>
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&#x2610;</font>Written communications pursuant to Rule 425 under the
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&#x2610;</font>Pre-commencement communications pursuant to Rule
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<font style="font-weight: bold; color: #000000; font-family: Times New Roman; font-size: 13px">
Securities registered pursuant to Section 12(b) of the
Act:</font></div>
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<font style="font-family: Times New Roman; font-size: 13px">&#xA0;</font></div>
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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>
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<font style="font-family: Times New Roman; font-size: 13px">LPTH</font></div>
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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">&#xA0;</font></div>
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<font style="font-family: Times New Roman; font-size: 13px">Emerging
growth company <font style="color: #000000">&#x2610;</font></font></div>
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<font style="color: #000000; font-family: Times New Roman; font-size: 13px">
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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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&#xA0;<br></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">Form
8-K</font></div>
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<font style="font-weight: bold; color: #000000; font-family: Times New Roman; font-size: 13px">
Item 2.02.&#xA0;&#xA0;&#xA0;&#xA0;Results of Operations and
Financial Condition</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="color: #000000; font-family: Times New Roman; font-size: 13px">
On August 5, 2021, LightPath Technologies, Inc. issued a press
release announcing the preliminary results for the fourth quarter
and fiscal year ended June 30, 2021. A copy of the Press Release is
attached as Exhibit 99.1 to this Current Report on Form
8-K.</font></div>
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<font style="font-weight: bold; font-family: Times New Roman; font-size: 13px">
Item 9.01. Financial Statements and Exhibits.</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">(d)</font></div>
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Exhibit&#xA0;No.</font></div>
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Description</font></div>
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<font><a href="lpth_ex991.htm"><font style="font-family: Times New Roman; font-size: 13px;">99.1</font></a></font></div>
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<font style="color: #000000; font-family: Times New Roman; font-size: 13px">
Press Release of LightPath Technologies, Inc., dated August 5, 2021
for the Fourth Quarter and Fiscal Year Ended June 30,
2021.</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>
<div style="text-align: left; margin-left: 0px; margin-right: 0px; text-indent: 0px">
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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:
August 5, 2021</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/
Albert Miranda <font style="color: #000000">&#xA0;</font></font></div>
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Albert Miranda, Chief Financial Officer</font></div>
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<DOCUMENT>
<TYPE>EX-99.1
<SEQUENCE>2
<FILENAME>lpth_ex991.htm
<DESCRIPTION>PRESS RELEASE DATED AUGUST 5, 2021
<TEXT>
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<font style="font-family: Times New Roman; font-size: 13px;"><font style="font-weight: bold">
Exhibit 99.1</font><br></font></div>
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For Immediate Release</font></div>
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<font style="font-weight: bold; font-family: Times New Roman; font-size: 24px">
LightPath Technologies Announces Preliminary Results for Fourth
Quarter and Fiscal Year 2021</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">ORLANDO,
FL &#x2013; August 5, 2021 &#x2013; <font style="text-decoration: underline; color: #0000FF">LightPath
Technologies, Inc.</font> (NASDAQ: LPTH) (&#x201C;LightPath,&#x201D;
the &#x201C;Company,&#x201D; or &#x201C;we&#x201D;), a leading
vertically integrated <font style="text-decoration: underline; color: #0000FF">global
manufacturer</font> and <font style="text-decoration: underline; color: #0000FF">integrator</font> of
<font style="text-decoration: underline; color: #0000FF">proprietary optical
and infrared components</font> and <font style="text-decoration: underline; color: #0000FF">high-level
assemblies</font>, today announced preliminary financial results
for the fourth quarter and fiscal year ended June 30,
2021.</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-weight: bold; font-family: Times New Roman; font-size: 13px">
Preliminary Results for the Fourth Quarter and Fiscal Year Ended
June 30, 2021</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">Subject
to completion of the audit of the Company&#x2019;s financial results
for the fourth quarter and fiscal year ended June 30, 2021, the
Company expects to report:</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="margin-left: 48px; display: table">
<div style="display: table-row">
<div style="text-align: left; display: table-cell; width: 24px">
<font style="font-size: 13px">&#x25CF;</font></div>
<div style="text-align: justify; display: table-cell"><font style="font-family: Times New Roman; font-size: 13px">Total backlog
between $21 million and $22 million at June 30, 2021, compared to
$21.9 million at June 30, 2020.</font></div>
</div>
</div>
<div style="margin-left: 48px; display: table">
<div style="display: table-row">
<div style="text-align: left; display: table-cell; width: 24px">
<font style="font-size: 13px">&#x25CF;</font></div>
<div style="text-align: justify; display: table-cell"><font style="font-family: Times New Roman; font-size: 13px">Total revenues
between $8.0 million and $8.3 million for the fourth quarter of
fiscal 2021, compared to $9.1 million for the fourth quarter of
fiscal 2020. Total revenues for fiscal 2021 between $38.2 million
and $38.5 million, compared to $35.0 million for fiscal
2020.</font></div>
</div>
</div>
<div style="margin-left: 48px; display: table">
<div style="display: table-row">
<div style="text-align: left; display: table-cell; width: 24px">
<font style="font-size: 13px">&#x25CF;</font></div>
<div style="text-align: justify; display: table-cell"><font style="font-family: Times New Roman; font-size: 13px">Capital
expenditures of approximately $440,000 for the fourth quarter of
fiscal 2021, compared to $938,000 for the fourth quarter of fiscal
2020. Capital expenditures of approximately $3.2 million for fiscal
2021, compared to $2.4 million for fiscal 2020.</font></div>
</div>
</div>
<div style="margin-left: 48px; display: table">
<div style="display: table-row">
<div style="text-align: left; display: table-cell; width: 24px">
<font style="font-size: 13px">&#x25CF;</font></div>
<div style="text-align: justify; display: table-cell"><font style="font-family: Times New Roman; font-size: 13px">Cash and cash
equivalents of approximately $6.8 million as of June 30, 2021, as
compared to $5.4 million at June 30, 2020.</font></div>
</div>
</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">Commenting
on recent operating activities and preliminary fourth quarter and
fiscal 2021 financial results, Sam Rubin, Chief Executive Officer
(&#x201C;CEO&#x201D;) of LightPath, stated, &#x201C;Based on our
preliminary results, we expect the Company to have returned to
double digit annual organic revenue growth, which we are pleased
about. This level of growth was a priority established as part of
the new strategic path that we began developing when I assumed the
role of CEO in March 2020 and significantly improves upon the 4%
annual growth in each of the preceding two
years.&#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">&#x201C;With
a few exceptions, we have benefited from momentum achieved in the
majority of our product lines and geographic regions. The most
significant exception, as we previously disclosed, pertains to the
leadership transition for our operations in China. The other
challenge to our performance has been the softness in sales to the
telecommunications sector, primarily with the deferment of orders
from a major customer involved with the 5G network deployments in
China. These headwinds are expected for a few more quarters before
sales in the region may return to their previous levels. More
recently, we have made inroads in leveraging our high quality PMO
lenses for 5G network buildouts to other global customers, and
expect to see a pickup in our telecommunications revenue generated
by these other global customers in the quarters to come. The range
provided for our backlog at the end of fiscal 2021 remained at a
relatively consistent level compared to the end of fiscal 2020,
despite the increase in shipments and the recent softness in the
telecommunications sector, which occurred primarily in
China.&#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">&#x201C;Our
continued growth in sales for the year has also resulted in the
strengthening of our balance sheet, with our cash balance growing
to $6.8 million at the end of the fiscal year. Further, throughout
fiscal 2021, we continued to plan for our new strategic path
through investments in capital equipment and technology
development.&#x201D;</font></div>
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<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">&#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">&#x201C;While
our sales and cash have grown at a satisfactory rate, our margins
and profitability in the last two quarters have been negatively
impacted by a number of recent events. We were impacted by order
delays by a large 5G customer, where the reduced level of sales for
lenses that are more advanced, and generally among our highest
margin products, is negatively impacting our consolidated revenue
mix. At the same time, we incurred additional expenses associated
with the leadership transition in China and continued investigation
into the previously disclosed actions taken by former employees of
our Chinese subsidiaries, including their efforts to misappropriate
certain of our proprietary technology. Though we have resolved some
of these issues, such as hiring new leadership for our China
operations, which resulted in some short-term costs, we expect
these issues to continue to impact our financial results through at
least the first quarter of fiscal 2022 as we continue investigating
these matters and pursue any further legal actions available to us.
We will discuss these matters and the progress we have made on them
in our upcoming earnings call.&#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">&#x201C;We
intend to issue our full final financial results for the fourth
quarter and fiscal year ended June 30, 2021 in early September,
when we will share additional performance insights for the year and
other recently achieved milestones.&#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-weight: bold; font-family: Times New Roman; font-size: 13px">
About LightPath 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="font-family: Times New Roman; font-size: 13px">LightPath
Technologies, Inc. (NASDAQ: LPTH) is a leading global, vertically
integrated provider of optics, photonics and infrared solutions for
the industrial, commercial, defense, telecommunications, and
medical industries. LightPath designs, manufactures, and
distributes proprietary optical and infrared components including
molded glass aspheric lenses and assemblies, infrared lenses and
thermal imaging assemblies, fused fiber collimators, and
proprietary <font style="text-decoration: underline; color: #0000FF">Black
Diamond</font><font style="font-size: 70%; vertical-align: top">TM</font> (&#x201C;BD6&#x201D;)
chalcogenide-based glass lenses. LightPath also offers custom
optical assemblies, including full engineering design support. The
Company is headquartered in Orlando, Florida, with manufacturing
and sales offices in Latvia and China.</font></div>
<div><font style="font-family: Times New Roman; font-size: 10">&#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">LightPath&#x2019;s
wholly-owned subsidiary, <font style="text-decoration: underline; color: #0000FF">ISP Optics
Corporation</font><font style="text-decoration: underline; color: #0000FF">,</font> 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><font style="font-family: Times New Roman; font-size: 10">&#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">For
more information on LightPath and its businesses, please visit
<font style="text-decoration: underline; color: #0000FF">www.lightpath.com</font>.</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-weight: bold; font-family: Times New Roman; font-size: 13px">
Information Regarding Preliminary Results</font></div>
<div><font style="font-family: Times New Roman; font-size: 10">&#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
preliminary estimated financial information contained in this press
release reflects management&#x2019;s estimates based solely upon
information available to it as of the date of this press release
and is not a comprehensive statement of our financial results for
the fourth quarter and fiscal year ended June 30, 2021. We have
provided ranges for the preliminary estimated financial results
described above primarily because our financial closing procedures
for the fourth quarter and fiscal year ended June 30, 2021 are not
yet complete. The information presented above should not be
considered a substitute for full audited consolidated financial
statements for the fourth quarter and fiscal year ended June 30,
2021, once they become available, and should not be regarded as a
representation by us or our management as to the actual financial
results for the fourth quarter and fiscal year ended June 30, 2021.
The ranges for the preliminary estimated financial results
described above constitute forward-looking statements. The
preliminary estimated financial information presented above is
subject to change, and our actual financial results may differ from
such preliminary estimates and such differences could be material.
Accordingly, you should not place undue reliance upon these
preliminary estimates.</font></div>
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Forward-Looking Statements</font></div>
<div><font style="font-family: Times New Roman; font-size: 10">&#xA0;</font></div>
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<font style="font-style: italic; font-family: Times New Roman; font-size: 13px">
This press release includes statements that constitute
forward-looking statements made pursuant to the safe harbor
provisions of the Private Securities Litigation Reform Act of 1995.
Forward-looking statements may be identified by the use of words
such as &#x201C;forecast,&#x201D; &#x201C;guidance,&#x201D;
&#x201C;plan,&#x201D; &#x201C;estimate,&#x201D; &#x201C;will,&#x201D;
&#x201C;would,&#x201D; &#x201C;project,&#x201D; &#x201C;maintain,&#x201D;
&#x201C;intend,&#x201D; &#x201C;expect,&#x201D;
&#x201C;anticipate,&#x201D; &#x201C;prospect,&#x201D;
&#x201C;strategy,&#x201D; &#x201C;future,&#x201D; &#x201C;likely,&#x201D;
&#x201C;may,&#x201D; &#x201C;should,&#x201D; &#x201C;believe,&#x201D;
&#x201C;continue,&#x201D; &#x201C;opportunity,&#x201D;
&#x201C;potential,&#x201D; and other similar expressions that predict
or indicate future events or trends or that are not statements of
historical matters, and include, for example, statements related to
the expected effects on the Company&#x2019;s business from the novel
coronavirus (&#x201C;COVID-19&#x201D;) pandemic. These
forward-looking statements are based on information available at
the time the statements are made and/or management&#x2019;s good
faith belief as of that time with respect to future events, and are
subject to risks and uncertainties that could cause actual results
to differ materially from those expressed in or suggested by the
forward-looking statements. Factors that could cause or contribute
to such differences include, but are not limited to, the duration
and scope of the COVID-19 pandemic and impact on the demand for the
Company products; the ability of the Company to obtain needed raw
materials and components from its suppliers; actions governments,
businesses, and individuals take in response to the pandemic,
including mandatory business closures and restrictions on onsite
commercial interactions; the impact of the pandemic and actions
taken in response to the pandemic on global and regional economies
and economic activity; the pace of recovery when the COVID-19
pandemic subsides; general economic uncertainty in key global
markets and a worsening of global economic conditions or low levels
of economic growth; the effects of steps that the Company could
take to reduce operating costs; the inability of the Company to
sustain profitable sales growth, convert inventory to cash, or
reduce its costs to maintain competitive prices for its products;
circumstances or developments that may make the Company unable to
implement or realize the anticipated benefits, or that may increase
the costs, of its current and planned business initiatives; the
impact of leadership changes on our operations in China, including
the impact of actions taken by our former leadership team; and
those factors detailed by LightPath Technologies, Inc. in its
public filings with the Securities and Exchange Commission,
including its Annual Report on Form 10-K and its Quarterly Reports
on Form 10-Q. Should one or more of these risks, uncertainties, or
facts materialize, or should underlying assumptions prove
incorrect, actual results may vary materially from those indicated
or anticipated by the forward-looking statements contained herein.
Accordingly, you are cautioned not to place undue reliance on these
forward-looking statements, which speak only as of the date they
are made. Forward-looking statements should not be read as a
guarantee of future performance or results and will not necessarily
be accurate indications of the times at, or by, which such
performance or results will be achieved. Except as required under
the federal securities laws and the rules and regulations of the
Securities and Exchange Commission, we do not have any intention or
obligation to update publicly any forward-looking statements,
whether as a result of new information, future events, or
otherwise.</font></div>
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<div><font>&#xA0; <font style="font-family: Times New Roman; font-size: 13px">Contacts:</font></font></div>
</td>
<td style="width: 5%;">
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</td>
<td style="width: 20%">
<div><font>&#xA0;</font></div>
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</td>
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</td>
</tr><tr>
<td style="width: 20%">
<div><font>&#xA0; <font style="font-family: Times New Roman; font-size: 13px"><font style="color: #000000">Sam Rubin, President &amp;
CEO</font>&#xA0;</font></font></div>
</td>
<td style="width: 5%;">
<div><font>&#xA0;</font></div>
</td>
<td style="width: 20%">
<div><font>&#xA0; <font style="font-family: Times New Roman; font-size: 13px"><font style="color: #000000">Al Miranda CFO</font>&#xA0;</font></font></div>
</td>
<td style="width: 5%;">
<div><font>&#xA0;</font></div>
</td>
<td style="width: 20%">
<div><font>&#xA0; <font style="color: #000000; font-family: Times New Roman; font-size: 13px">Jordan
Darrow</font></font></div>
</td>
</tr><tr>
<td style="width: 20%">
<div><font>&#xA0; <font style="font-family: Times New Roman; font-size: 13px"><font style="color: #000000">LightPath Technologies,
Inc</font></font></font></div>
</td>
<td style="width: 5%;">
<div><font>&#xA0;</font></div>
</td>
<td style="width: 20%">
<div><font>&#xA0; <font style="color: #000000; font-family: Times New Roman; font-size: 13px">LightPath
Technologies, Inc.</font></font></div>
</td>
<td style="width: 5%;">
<div><font>&#xA0;</font></div>
</td>
<td style="width: 20%">
<div><font>&#xA0; <font style="color: #000000; font-family: Times New Roman; font-size: 13px">Darrow
Associates, Inc.</font></font></div>
</td>
</tr><tr>
<td style="width: 20%">
<div><font>&#xA0; <font style="font-family: Times New Roman; font-size: 13px"><font style="color: #000000">Tel: 407-382-4003</font>&#xA0;</font></font></div>
</td>
<td style="width: 5%;">
<div><font>&#xA0;</font></div>
</td>
<td style="width: 20%">
<div><font>&#xA0; <font style="font-family: Times New Roman; font-size: 13px"><font style="color: #000000">Tel:
407-382-4003</font>&#xA0;&#xA0;</font></font></div>
</td>
<td style="width: 5%;">
<div><font>&#xA0;</font></div>
</td>
<td style="width: 20%">
<div><font>&#xA0; <font style="font-family: Times New Roman; font-size: 13px">Tel: <font style="color: #000000">512-551-9296</font></font></font></div>
</td>
</tr><tr>
<td style="width: 20%">
<div><font>&#xA0; <font style="font-family: Times New Roman; font-size: 13px"><font style="text-decoration: underline; color: #0000FF">srubin@lightpath.com</font>&#xA0;&#xA0;</font></font></div>
</td>
<td style="width: 5%;">
<div><font>&#xA0;</font></div>
</td>
<td style="width: 20%">
<div><font>&#xA0; <font style="font-family: Times New Roman; font-size: 13px"><font style="text-decoration: underline; color: #0000FF">amiranda@lightpath.com</font>&#xA0;&#xA0;</font></font></div>
</td>
<td style="width: 5%;">
<div><font>&#xA0;</font></div>
</td>
<td style="width: 20%">
<div><font>&#xA0; <font style="text-decoration: underline; color: #0000FF; font-family: Times New Roman; font-size: 13px">
jdarrow@darrowir.com</font></font></div>
</td>
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