-----BEGIN PRIVACY-ENHANCED MESSAGE----- Proc-Type: 2001,MIC-CLEAR Originator-Name: webmaster@www.sec.gov Originator-Key-Asymmetric: MFgwCgYEVQgBAQICAf8DSgAwRwJAW2sNKK9AVtBzYZmr6aGjlWyK3XmZv3dTINen TWSM7vrzLADbmYQaionwg5sDW3P6oaM5D3tdezXMm7z1T+B+twIDAQAB MIC-Info: RSA-MD5,RSA, Q+dcZx7cKF43NK4iU/+kPDHY7jXwKZn1+VLodt7ZkjaxrZgcH9KjIvcbcwSutm/B FT8Yfw+KzEvzVPon1e5Z+g== 0000950127-01-500169.txt : 20010710 0000950127-01-500169.hdr.sgml : 20010710 ACCESSION NUMBER: 0000950127-01-500169 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20010131 FILED AS OF DATE: 20010709 SUBJECT COMPANY: COMPANY DATA: COMPANY CONFORMED NAME: EMCORE CORP CENTRAL INDEX KEY: 0000808326 STANDARD INDUSTRIAL CLASSIFICATION: SPECIAL INDUSTRY MACHINERY, NEC [3559] IRS NUMBER: 222746503 STATE OF INCORPORATION: NJ FISCAL YEAR END: 0930 FILING VALUES: FORM TYPE: 4 SEC ACT: SEC FILE NUMBER: 000-22175 FILM NUMBER: 1676490 BUSINESS ADDRESS: STREET 1: 145 BELMONT DRIVE CITY: SOMERSET STATE: NJ ZIP: 08873 BUSINESS PHONE: 7322719090 MAIL ADDRESS: STREET 1: 145 BELMONT DRIVE CITY: SOMERSET STATE: NJ ZIP: 08873 COMPANY DATA: COMPANY CONFORMED NAME: BRENNAN THOMAS M CENTRAL INDEX KEY: 0000014049 STANDARD INDUSTRIAL CLASSIFICATION: [] OFFICER IRS NUMBER: 155462589 FILING VALUES: FORM TYPE: 4 BUSINESS ADDRESS: STREET 1: 5601-C MIDWAY PARK PLACE CITY: ALBUQUERQUE STATE: NM ZIP: 87109 BUSINESS PHONE: 5053431111 MAIL ADDRESS: STREET 1: 5601-C MIDWAY PARK PLACE CITY: ALBUQUERQUE STATE: NM ZIP: 87109 4 1 form4.txt STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP ------------------------------ OMB APPROVAL ------------------------------ OMB Number 3235-0287 Expires: December 31, 2001 Estimated average burden hours per response ....... 0.5 ------------------------------ UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 4 STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934, Section 17(a) of the Public Utility Holding Company Act of 1935 or Section 30(f) of the Investment Company Act of 1940 [x] Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b). ================================================================================ 1. Name and Address of Reporting Person* Brennan, Thomas M. - -------------------------------------------------------------------------------- (Last) (First) (Middle) EMCORE Corporation - 10120 Research Rd. S.E. - -------------------------------------------------------------------------------- (Street) Albuquerque, New Mexico 87123 - -------------------------------------------------------------------------------- (City) (State) (Zip) EMCORE Corporation (EMKR) ================================================================================ 2. Issuer Name and Ticker or Trading Symbol ================================================================================ 3. IRS Identification Number of Reporting Person (if an entity) (voluntary) ================================================================================ 4. Statement for Month/Year January 2001 ================================================================================ 5. If Amendment, Date of Original (Month/Year) ================================================================================ 6. Relationship of Reporting Person(s) to Issuer (Check all applicable) [ ] Director [ ] 10% Owner [ x ] Officer (give title below) [ ] Other (specify below) Vice President --------------------------- ================================================================================ 7. Individual or Joint/Group Filing (Check applicable line) [ x ] Form filed by one Reporting Person [ ] Form filed by more than one Reporting Person * If the form is filed by more than one reporting person, see Instruction 4(b)(v). ================================================================================ Table I -- Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned - --------------------------------------------------------------------------------
4. Securities Acquired (A) or 3. Disposed of (D) Transaction (Instr. 3, 4 and 5) 2. Code ----------------------------- 1. Transaction (Instr. 8) (A) Title of Security Date ------------ Amount or Price (Instr. 3) (mm/dd/yy) Code V (D) - ------------------------------------------------------------------------------------------------------------------------------------ (1) - ------------------------------------------------------------------------------------------------------------------------------------ - ------------------------------------------------------------------------------------------------------------------------------------ Table I (cont.) -- Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned - -------------------------------------------------------------------------------- 5. 6. Owner- Amount of ship Securities Form: 7. Beneficially Direct Nature of Owned at End (D) or Indirect 1. of Month Indirect Beneficial Title of Security (Instr. 3 (I) Ownership (Instr. 3) and 4) (Instr.4) (Instr. 4) - ------------------------------------------------------------------------------------------------------------------ (1) - ------------------------------------------------------------------------------------------------------------------ ==================================================================================================================
Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. ================================================================================ Table II -- Derivative Securities Acquired, Disposed of, or Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities) - --------------------------------------------------------------------------------
6. Date 5. Exercisable and 2. 4. Number of Derivative Expiration Date 1. Conversion or Transaction Securities Acquired (A) (Month/Day/Year) Title of Exercise 3. Code or Disposed of (D) ---------------- Derivative Price of Transaction (Instr. 8) (Instr. 3, 4 and 5) Date Expira- Security Derivative Date (Month/ ------ ----------------------- Exer- tion (Instr. 3) Security Day/Year) Code V A) (D) cisable Date - ------------------------------------------------------------------------------------------------------------------------------------ (1) - ------------------------------------------------------------------------------------------------------------------------------------ - -------------------------------------------------------------------------------- Table II (cont.) -- Derivative Securities Acquired, Disposed of, or Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities) - -------------------------------------------------------------------------------- 7. Title and Amount of Underlying 10. Securities 9. Ownership (Instr. 3 and 4) Number of Form of ---------------- Derivative Derivative 11. 1. Amount 8. Securities Securities Nature of Title of or Price of Beneficially Beneficially Indirect Derivative Number Derivative Owned Owned at Beneficial Security of Security at End of Month End of Month Ownership (Instr. 3) Title Shares (Instr. 5) (Instr.4) (Instr. 4) (Instr. 4) - ------------------------------------------------------------------------------------------------------------------------------------ (1) - ------------------------------------------------------------------------------------------------------------------------------------ ====================================================================================================================================
Explanation of Responses: /s/ Thomas M. Brennan July 7, 2001 - --------------------------------------------- ----------------------- **Signature of Reporting Person Date ** Intentional misstatements or omissions of facts constitute Federal Criminal Violations. See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a). SEC 1472 Note: File three copies of this Form, one of which must be manually (3-99) signed. If space is insufficient, see Instruction 6 for procedures. Potential persons who are to respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB number. -----END PRIVACY-ENHANCED MESSAGE-----