Welcome to our dedicated page for Syntec Optics Holdings SEC filings (Ticker: OPTX), a comprehensive resource for investors and traders seeking official regulatory documents including 10-K annual reports, 10-Q quarterly earnings, 8-K material events, and insider trading forms.
The Syntec Optics Holdings, Inc. (Nasdaq: OPTX) SEC filings page on Stock Titan provides access to the company’s regulatory disclosures, including annual and quarterly reports and current reports on material events. These documents, filed with the U.S. Securities and Exchange Commission, offer detailed information about Syntec Optics’ optics and photonics manufacturing business, financial condition, risk factors, internal controls, and governance.
Investors can review Form 10-K annual reports and Form 10-Q quarterly reports for historical financial statements, segment performance commentary, and management’s discussion of results related to product lines such as Low Earth Orbit satellite optics, night vision and integrated scope optics, biomedical optics, and data center optics for Artificial Intelligence. These filings also describe the company’s vertically and horizontally integrated manufacturing platform and its focus on mission-critical OEM customers in defense, biomedical, communications, and consumer markets.
Syntec Optics’ Form 8-K current reports are particularly relevant for tracking significant developments. In 2025, 8-K filings disclosed Nasdaq notifications regarding delayed periodic filings and subsequent confirmation that the company had regained compliance after filing its Form 10-K and 10-Qs. Another 8-K detailed the resignation of the prior independent registered public accounting firm and the engagement of a new firm, as well as material weaknesses in internal control over financial reporting, including issues in documentation of controls, segregation of duties, reconciliation processes, IT general controls, cybersecurity-related controls, lease accounting, and stock-based compensation accounting.
On Stock Titan, these filings are updated from EDGAR and paired with AI-powered summaries that highlight key points, such as changes in listing compliance status, auditor changes, and internal control disclosures. Users can quickly scan which 8-Ks relate to Nasdaq listing rules, which 10-K or 10-Q filings contain updated financial data, and how Syntec Optics describes its strategy in light-enabled products. For those monitoring governance and potential insider activity, Form 4 and other ownership-related filings can also be accessed to see changes in beneficial ownership of OPTX securities.
Syntec Optics Holdings, Inc. filed an amendment to its annual report to add the full Part III disclosures on directors, executive compensation, security ownership, related-party transactions and principal accountant fees. The company confirms it is a Nasdaq-listed controlled company, with Al Kapoor serving as Chairman and Chief Executive Officer.
The filing describes three independent directors, fully constituted audit, compensation, and nominating committees, and a code of ethics and insider trading policy. It outlines a pay program focused on salary, potential bonuses and future equity awards, and discloses highly concentrated ownership, with insiders holding the vast majority of outstanding common shares.
Syntec Optics Holdings, Inc. is offering 2,857,142 shares of Class A common stock at a public offering price of $7.00 per share, with gross proceeds of approximately $20.0 million and expected net proceeds of approximately $18.6 million. The offering is underwritten on a firm commitment basis with a 30-day option to purchase up to an additional 428,571 shares (up to 15%).
The prospectus states the Company intends to use net proceeds to acquire or invest in complementary businesses, technologies, products or assets, and for working capital, capital expenditures, and potential repayment of indebtedness. Shares outstanding after the offering are presented in the prospectus as 39,851,306 shares (40,279,877 shares if the underwriter option is exercised in full).
Syntec Optics Holdings, Inc. entered an underwriting agreement for a primary public offering of 2,857,142 shares of common stock at $7.00 per share, raising expected gross proceeds of about $20 million before fees and expenses. Underwriters will purchase the shares at $6.58 per share and hold a 30‑day option to buy up to 428,571 additional shares on the same terms.
The company plans to use net proceeds to acquire or invest in complementary businesses, technologies, products or assets, and also for working capital, capital expenditures and potential debt repayment, including a subordinated term note of about $1.27 million. Syntec agreed to a 90‑day lock-up on new equity issuances and a six‑month restriction on variable rate equity transactions, while officers and directors signed 90‑day lock-up agreements on their holdings.
Syntec Optics Holdings, Inc. is registering 1,937,984 shares of common stock in a primary offering of approximately $20,000,000 at an assumed price of $10.32 per share. The company has granted the underwriter a 30‑day option to purchase up to 290,697 additional shares.
Shares outstanding would increase from 36,994,164 to 38,858,210 (or 39,148,908 assuming full option exercise), resulting in immediate dilution of $9.59 per share to new investors. Net proceeds are estimated at about $18.6 million and are intended mainly for acquisitions or investments, with potential use for working capital, capital expenditures, and possible repayment of a subordinated shareholder note.
Syntec is a vertically integrated optics and photonics manufacturer serving defense, bio-medical, communications and consumer markets. Key risks include revenue concentration, supply chain and tariff exposure, substantial earnout and warrant overhang, material weaknesses in internal controls, Nasdaq continued listing risk, and the influence of its CEO, who beneficially holds a majority of voting power and allows the company to operate as a “controlled company” with reduced governance requirements.
Syntec Optics Holdings, Inc. describes a vertically integrated optics and photonics manufacturing platform serving defense, biomedical, consumer and communications markets, built around polymer, glass and metal optics, thin-film coatings, nanomachining and assembly from its 90,000 square-foot Rochester facility.
The company highlights competitive strengths in polymer-based optics, a small patent portfolio, long-standing OEM relationships and growth plans that include new end-markets and acquisitions. As of June 30, 2025, voting stock held by non-affiliates had an aggregate market value of about $8.0 million, and as of March 27, 2026, there were 36,994,164 common shares outstanding.
Syntec details significant leverage and banking relationships, including a $7.5 million revolving credit facility with M&T Bank, prior covenant breaches that were waived, repayment of term and equipment loans via a subordinated shareholder note, and total indebtedness of about $9.4 million as of December 31, 2025, while reporting covenant compliance at year-end.
Syntec Optics Holdings, Inc. describes a vertically integrated optics and photonics manufacturing platform serving defense, biomedical, consumer and communications markets, built around polymer, glass and metal optics, thin-film coatings, nanomachining and assembly from its 90,000 square-foot Rochester facility.
The company highlights competitive strengths in polymer-based optics, a small patent portfolio, long-standing OEM relationships and growth plans that include new end-markets and acquisitions. As of June 30, 2025, voting stock held by non-affiliates had an aggregate market value of about $8.0 million, and as of March 27, 2026, there were 36,994,164 common shares outstanding.
Syntec details significant leverage and banking relationships, including a $7.5 million revolving credit facility with M&T Bank, prior covenant breaches that were waived, repayment of term and equipment loans via a subordinated shareholder note, and total indebtedness of about $9.4 million as of December 31, 2025, while reporting covenant compliance at year-end.
Bishop Walter A. reported acquisition or exercise transactions in this Form 4 filing.
Syntec Optics Holdings, Inc. director Walter A. Bishop reported an award of 24,646 Restricted Stock Units on February 20, 2026. Each RSU represents a contingent right to receive one Class A common share at $4.06 and is fully vested, with shares provided to the transfer agent and subject to transfer and trading restrictions.
Following this grant, Bishop’s reported holdings include 25,000 Class A common shares and 101,966 RSUs, all held directly.
SYNTEC OPTICS HOLDINGS, INC. director Albert Manzone reported an equity compensation grant in the form of Restricted Stock Units. On February 20, 2026, he acquired 24,646 RSUs at a price of $0.00 per unit, classified as a grant, award, or other acquisition.
Each RSU represents a contingent right to receive one Class A common share at $4.06, is fully vested, and the related shares have been provided to the transfer agent, subject to transfer and trading restrictions. Following this grant, ownership reported includes 25,000 shares and 101,966 RSUs.
Syntec Optics Holdings director Brent D. Rosenthal received an equity award of 24,646 Restricted Stock Units (RSUs). The award was recorded as a grant or other acquisition at a price of $0.00 per unit, increasing his directly owned RSUs to 101,966.
According to the footnotes, each RSU represents a contingent right to receive one Syntec Optics Class A common share at $4.06. The RSUs are fully vested, and the related shares have been provided to the transfer agent, subject to transfer restrictions and the company’s trading policy. Total ownership includes 25,000 shares and 101,966 RSUs.
Syntec Optics Holdings, Inc. reported the results of its Annual Meeting of Stockholders held on January 20, 2026. Stockholders elected Wally Bishop (31,398,541 votes for, 213,518 withheld) and Albert A. Manzone (31,514,689 votes for, 97,370 withheld) as Class II directors to serve until the 2028 annual meeting, out of 36,920,226 votable shares.
Stockholders also approved several routine corporate matters. They ratified the appointment of CBIZ, Inc. as independent registered public accounting firm with 32,583,955 votes for, 180,067 against, and 9,418 abstaining. The grant of Restricted Stock Units (RSUs) under the 2023 Equity Incentive Plan was approved with 31,495,469 votes for, 113,996 against, and 2,594 abstentions. An amendment to the Second Amended and Restated Certificate of Incorporation passed with 31,154,992 votes for, 452,777 against, and 4,289 abstaining, and stockholders approved the general proposal to consider any other business with 31,437,144 votes for, 456,852 against, and 4,446 abstentions.