ELLIS THOMAS B — SEC Form 4 filings
SEC reporting owner CIK 1283774. 20 Form 4 filings on record with FilingPulse; latest filed 2026-09-01.
Transaction summary — filings shown
Covers all 20 filings on record, filed 2024-05-09 to 2026-09-01. Counts and totals are arithmetic on values as filed — descriptive data, not a recommendation.
- Open-market purchases (code P, non-derivative): none reported.
- Open-market sales (code S, non-derivative): 18 legs across 9 filings — 6,875,861 shares, $90,065,512 total (shares × price as filed).
- Other reported legs (grants, option exercises, tax withholding, gifts, derivative-security transactions, …): 25.
- Largest priced transaction: sale of 3,571,400 shares @ $14.00 ($49,999,600) in LIGHTPATH TECHNOLOGIES INC, filed 2026-06-04.
By issuer — same filings
Open-market purchase/sale legs on non-derivative securities, grouped by issuer. Role is as filed on the newest filing for that issuer. Dollar totals cover priced legs only (shares × price as filed). Ordered by priced transaction value, largest first.
| Issuer | Role (as filed) | Filings | Purchases (P) | Sales (S) | Other legs |
|---|---|---|---|---|---|
| LIGHTPATH TECHNOLOGIES INC (LPTH) | Director | 11 | — | 18 legs · 6,875,861 sh · $90,065,512 | 14 |
| Guerrilla RF, Inc. (GUER) | Director, 10% owner | 5 | — | — | 7 |
| LENSAR, Inc. (LNSR) | Director, 10% owner | 3 | — | — | 3 |
| CREATIVE REALITIES, INC. (CREX) | Director, 10% owner | 1 | — | — | 1 |
Form 4 filings — ELLIS THOMAS B
| Filed | Form | Issuer | Reported transactions | Source |
|---|---|---|---|---|
| 2026-09-01 | 4 | Guerrilla RF, Inc. (GUER) | Option exercise (M): 14,164 @ $6 · Option exercise (M): 14,164 (derivative) @ $0 | EDGAR |
| 2026-08-18 | 4 | Guerrilla RF, Inc. (GUER) | Grant/award (A): 14,164 (derivative) @ $0 | EDGAR |
| 2026-06-23 | 4 | Guerrilla RF, Inc. (GUER) | Option exercise (M): 15,625 @ $3.05 · Option exercise (M): 15,625 (derivative) @ $0 | EDGAR |
| 2026-06-05 | 4 | LENSAR, Inc. (LNSR) | Grant/award (A): 17,421 @ $0 | EDGAR |
| 2026-06-04 | 4 | LIGHTPATH TECHNOLOGIES INC (LPTH) jointly with North Run Strategic Opportunities Fund I, LP, HAMMER TODD B, North Run Strategic Opportunities Fund I GP, LLC | Conversion (C): 3,571,400 @ $2.15 · Sale (S): 3,571,400 @ $14 · Conversion (C): 7,678.51 (derivative) @ $0 | EDGAR |
| 2026-05-20 | 4 | LIGHTPATH TECHNOLOGIES INC (LPTH) jointly with North Run Strategic Opportunities Fund I, LP, HAMMER TODD B, North Run Strategic Opportunities Fund I GP, LLC | Sale (S): 55,284 @ $12.32 | EDGAR |
| 2026-05-19 | 4 | Guerrilla RF, Inc. (GUER) | Grant/award (A): 15,625 (derivative) @ $0 | EDGAR |
| 2026-05-14 | 4 | LIGHTPATH TECHNOLOGIES INC (LPTH) jointly with North Run Strategic Opportunities Fund I, LP, HAMMER TODD B, North Run Strategic Opportunities Fund I GP, LLC | Sale (S): 83,052 @ $12.25 · Sale (S): 45,000 @ $12.29 · Sale (S): 165,000 @ $12.16 | EDGAR |
| 2026-03-26 | 4 | LIGHTPATH TECHNOLOGIES INC (LPTH) jointly with North Run Strategic Opportunities Fund I, LP, HAMMER TODD B, North Run Strategic Opportunities Fund I GP, LLC | Sale (S): 54,557 @ $12.06 · Conversion (C): 740,000 @ $2.15 · Sale (S): 302,352 @ $12.31 · Conversion (C): 1,591 (derivative) | EDGAR |
| 2026-03-19 | 4 | LIGHTPATH TECHNOLOGIES INC (LPTH) jointly with North Run Strategic Opportunities Fund I, LP, HAMMER TODD B, North Run Strategic Opportunities Fund I GP, LLC | Sale (S): 104,454 @ $12.01 · Sale (S): 16,000 @ $12 | EDGAR |
| 2026-03-04 | 4 | LIGHTPATH TECHNOLOGIES INC (LPTH) jointly with North Run Strategic Opportunities Fund I, LP, HAMMER TODD B, North Run Strategic Opportunities Fund I GP, LLC | Conversion (C): 740,000 @ $2.15 · Sale (S): 238,991 @ $12.03 · Sale (S): 381,004 @ $12.18 · Sale (S): 55,000 @ $12.09 · Conversion (C): 1,591 (derivative) @ $0 | EDGAR |
| 2026-03-03 | 4 | CREATIVE REALITIES, INC. (CREX) | Grant/award (A): 2,117 @ $0 | EDGAR |
| 2026-02-27 | 4 | LIGHTPATH TECHNOLOGIES INC (LPTH) jointly with North Run Strategic Opportunities Fund I, LP, HAMMER TODD B, North Run Strategic Opportunities Fund I GP, LLC | Sale (S): 300,092 @ $12.18 | EDGAR |
| 2026-02-24 | 4 | LIGHTPATH TECHNOLOGIES INC (LPTH) jointly with North Run Strategic Opportunities Fund I, LP, HAMMER TODD B, North Run Strategic Opportunities Fund I GP, LLC | Conversion (C): 1,260,000 @ $2.15 · Sale (S): 218,811 @ $13.18 · Sale (S): 376,762 @ $12.15 · Sale (S): 6,500 @ $12.01 · Sale (S): 131,281 @ $12.02 · Conversion (C): 2,709 (derivative) @ $0 | EDGAR |
| 2026-01-07 | 4 | LIGHTPATH TECHNOLOGIES INC (LPTH) jointly with North Run Strategic Opportunities Fund I, LP, North Run - Due North Partners, LP, NORTH RUN GP, LP, NORTH RUN ADVISORS, LLC, HAMMER TODD B, Bosco Michael, North Run Strategic Opportunities Fund I GP, LLC | Option exercise/expiry (X): 3,499,289 @ $2.58 · Sale (S): 770,321 @ $11.72 · Disposition to issuer (D): 1,860,465 (derivative) @ $2.15 · Option exercise/expiry (X): 3,499,289 (derivative) @ $0 | EDGAR |
| 2025-11-21 | 4 | LIGHTPATH TECHNOLOGIES INC (LPTH) | Option exercise (M): 6,968 · Grant/award (A): 8,824 (derivative) | EDGAR |
| 2025-06-20 | 4 | LIGHTPATH TECHNOLOGIES INC (LPTH) | Grant/award (A): 6,968 (derivative) | EDGAR |
| 2025-05-28 | 4 | LENSAR, Inc. (LNSR) | Grant/award (A): 7,374 @ $0 | EDGAR |
| 2024-10-28 | 4 | Guerrilla RF, Inc. (GUER) | Grant/award (A): 16,667 (derivative) @ $0 | EDGAR |
| 2024-05-09 | 4 | LENSAR, Inc. (LNSR) | Grant/award (A): 22,000 @ $0 | EDGAR |
FilingPulse's Form 4 archive currently extends back to 2024-01-11 and is expanding backward through EDGAR history — earlier filings by this insider may not be indexed yet. Names and roles are shown as filed.
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