0001037792-17-000006.txt : 20170214 0001037792-17-000006.hdr.sgml : 20170214 20170214094921 ACCESSION NUMBER: 0001037792-17-000006 CONFORMED SUBMISSION TYPE: SC 13G PUBLIC DOCUMENT COUNT: 1 FILED AS OF DATE: 20170214 DATE AS OF CHANGE: 20170214 SUBJECT COMPANY: COMPANY DATA: COMPANY CONFORMED NAME: EMCORE CORP CENTRAL INDEX KEY: 0000808326 STANDARD INDUSTRIAL CLASSIFICATION: SEMICONDUCTORS & RELATED DEVICES [3674] IRS NUMBER: 222746503 STATE OF INCORPORATION: NJ FISCAL YEAR END: 0930 FILING VALUES: FORM TYPE: SC 13G SEC ACT: 1934 Act SEC FILE NUMBER: 005-50693 FILM NUMBER: 17603291 BUSINESS ADDRESS: STREET 1: 2015 W. CHESTNUT STREET CITY: ALHAMBRA STATE: CA ZIP: 91803 BUSINESS PHONE: 626-293-3400 MAIL ADDRESS: STREET 1: 2015 W. CHESTNUT STREET CITY: ALHAMBRA STATE: CA ZIP: 91803 FILED BY: COMPANY DATA: COMPANY CONFORMED NAME: PARADIGM CAPITAL MANAGEMENT INC/NY CENTRAL INDEX KEY: 0001037792 IRS NUMBER: 141770168 STATE OF INCORPORATION: NY FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: SC 13G BUSINESS ADDRESS: STREET 1: 9 ELK STREET CITY: ALBANY STATE: NY ZIP: 12207 BUSINESS PHONE: 5184313500 MAIL ADDRESS: STREET 1: 9 ELK STREET CITY: ALBANY STATE: NY ZIP: 12207 SC 13G 1 emkr13gfeb142017.txt SECURITIES AND EXCHANGE COMMISSION Washington, D. C. 20549 SCHEDULE 13G (Rule 13d-102) Emcore Corporation (Name of Issuer) Common Stock 290846203 (CUSIP Number) December 31, 2016 (Date of Event Which Requires Filing of this Statement) Check the appropriate box to designate the rule pursuant to which this Schedule is filed: [X] Rule 13d-1(b) [ ] Rule 13d-1(c) [ ] Rule 13d-1(d) *The remainder of this cover page shall be filled out for a reporting person's initial filing on this form with respect to the subject class of securities, and for any subsequent amendment containing information which would alter the disclosures provided in a prior cover page. The information required in the remainder of this cover page shall not be deemed to be "filed" for the purpose of Section 18 of the Securities Exchange Act of 1934 ("Act") or otherwise subject to the liabilities of that section of the Act but shall be subject to all other provisions of the Act. CUSIP NO. 290846203 Page 2 of 4 Pages 1) Name of Reporting Person(s) I.R.S. Identification No. of Above Person (entities only) Paradigm Capital Management, Inc. 14-1770168 ----------------------------------------------------------------------------- 2) Check the Appropriate Box if a Member of a Group (a)_____ (b)_____ Not Applicable ----------------------------------------------------------------------------- 3) SEC Use Only ----------------------------------------------------------------------------- 4) Citizenship or Place of Organization New York ----------------------------------------------------------------------------- NUMBER OF SHARES BENEFICIALLY OWNED BY EACH REPORTING PERSON WITH (5) Sole Voting Power 2,309,800 (6) Shared Voting Power -0- (7) Sole Dispositive Power 2,309,800 (8) Shared Dispositive Power-0- ----------------------------------------------------------------------------- 9) Aggregate Amount Beneficially Owned by Each Reporting Person 2,309,800 ----------------------------------------------------------------------------- 10) Check if the Aggregate Amount in Row (9) Excludes Certain Shares Not Applicable ----------------------------------------------------------------------------- 11) Percent of Class Represented by Amount In Row (9) 8.84% ----------------------------------------------------------------------------- 12) Type of Reporting Person IA ----------------------------------------------------------------------------- CUSIP NO. 290846203 Page 3 of 4 Pages Item 1(a) Name of Issuer: Emcore Corporation Item 1(b) Address of Issuer's Principal Executive Offices: 2015 W. Chestnut Street Alhambra, California, 91803 Item 2(a) Name of Person Filing: Paradigm Capital Management, Inc. Item 2(b) Address of Principal Business Office: Nine Elk Street, Albany, New York 12207 Item 2(c) Citizenship: A New York State Corporation Item 2(d) Title of Class of Securities: Common Stock Item 2(e) Cusip Number: 290846203 Item 3. If this statement is filed pursuant to 240.13d-1(b) or 240.13d- (b) or 9c), check whether the person filing is a: (e) [X] an investment adviser in accordance with 240.13d-1(b) (1)(ii)(E). Item 4. Ownership. (a) Amount beneficially owned: 2,309,800 (b) Percent of class: 8.84% (c) Number of shares as to which the person has: (i) Sole power to vote or to direct the vote: 2,309,800 (ii) Shared power to vote or direct the vote: -0- (iii) Sole power to dispose or to direct the disposition of: 2,309,800 (iv) Shared power to dispose or to direct the disposition of: -0- CUSIP NO. 290846203 Page 4 of 4 Pages Item 5. Ownership of 5% or Less of a Class. If this statement is being filed to report the fact as of the date hereof the reporting person has ceased to be the beneficial owner of more than five percent of the class of securities, check the following [ ]. Item 6. Ownership of more than 5% on Behalf of Another Person. All securities reported in this Schedule 13G Report are owned by advisory clients of the Reporting Person. Item 7 Identification and Classification of the Subsidiary Which Acquired the Security Being Reported on by the Parent Holding Company or Control Person. Not Applicable Item 8 Identification and Classification of Members of the Group. Not Applicable Item 9 Notice of Dissolution of Group. Not Applicable Item 10. Certification. By signing below I (we) certify that, to the best of my knowledge and belief, the securities referred to above were acquired in the ordinary course of business and were not acquired and are not held for the purpose of or with the effect of changing or influencing the control of the Issuer of the securities and were not acquired and are not held in connection with or as a participant in any transaction having that purpose or effect. SIGNATURE After reasonable inquiry and to the best of my (our) knowledge and belief, I (we) certify that the information set forth in this statement is true, complete and correct. Dated: February 14, 2017 PARADIGM CAPITAL MANAGEMENT, INC. By /s/ Robert A. Benton Robert A. Benton, Chief Compliance Officer Telephone: (518) 431-3500 - 4 -