-----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, M00ambCTSG78z95AUSLnB+EySXVCnewjFHvIuuZ5eqAchALiEq2oGK6pY/RwnfpQ 3BM5gnUMqgCwL53E6WLzEw== 0000808326-06-000056.txt : 20060306 0000808326-06-000056.hdr.sgml : 20060306 20060306163453 ACCESSION NUMBER: 0000808326-06-000056 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20060302 FILED AS OF DATE: 20060306 DATE AS OF CHANGE: 20060306 ISSUER: 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 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 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: RICHARDS REUBEN F JR CENTRAL INDEX KEY: 0001035939 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 000-22175 FILM NUMBER: 06667575 BUSINESS ADDRESS: STREET 1: C/O EMCORE CORP STREET 2: 394 ELIZABETH AVENUE CITY: SOMERSET STATE: NJ ZIP: 08893 BUSINESS PHONE: 9082719090 MAIL ADDRESS: STREET 1: C/O EMCORE CORP STREET 2: 394 ELIZABETH CORP CITY: SOMERSET STATE: NJ ZIP: 08893 4 1 edgar.xml PRIMARY DOCUMENT X0202 4 2006-03-02 0000808326 EMCORE CORP EMKR 0001035939 RICHARDS REUBEN F JR C/O EMCORE CORPORATION 145 BELMONT DRIVE SOMERSET NJ 08873 1 1 0 0 President and CEO Common Stock 2006-03-02 4 S 0 15000 7.91 D 547054 D Common Stock 2006-03-02 4 S 0 5000 7.98 D 542054 D Common Stock 2006-03-02 4 S 0 60000 8.00 D 482054 D Common Stock 2006-03-02 4 S 0 10000 8.01 D 472054 D Common Stock 2006-03-02 4 S 0 15000 8.03 D 457054 D Common Stock 2006-03-03 4 S 0 44000 7.92 D 413054 D Common Stock 2006-03-03 4 S 0 15000 7.94 D 398054 D Common Stock 2006-03-03 4 S 0 25000 7.97 D 373054 D Common Stock 2006-03-03 4 S 0 23500 7.98 D 349554 D Common Stock 2006-03-03 4 S 0 5000 7.99 D 344554 D Common Stock 2006-03-03 4 S 0 7500 8.00 D 337054 D Common Stock 2006-03-06 4 S 0 5000 7.62 D 332054 D Common Stock 2006-03-06 4 M 0 72500 2.63 A 404554 D Common Stock 2006-03-06 4 M 0 75000 3.42 A 479554 D Common Stock 2006-03-03 4 S 0 25000 7.98 D 175000 I By Spouse Employee Stock Option (right to buy) 2.63 2006-03-06 4 M 0 72500 D 2014-05-18 Common Stock 72500 72500 D Employee Stock Option (right to buy) 3.42 2006-03-06 4 M 0 75000 D 2015-05-18 Common Stock 75000 225000 D All Sales were effected to satisfy Mr. Richards' tax liability in connection with the partial forgiveness of Mr. Richards' loan and to provide funds for option exercises. This option vests 1/4 in May 2005, 1/4 in February 2006, 1/4 in May 2006, and 1/4 in May 2007. Stock Option grant This option vests 1/4 in February 2006, 1/4 in May 2006, 1/4 in May 2007, and 1/4 in May 2008. Stock Option grant /s/ Reuben F. Richards, Jr. 2006-03-06 -----END PRIVACY-ENHANCED MESSAGE-----