0000899243-15-008064.txt : 20151112
0000899243-15-008064.hdr.sgml : 20151112
20151112163735
ACCESSION NUMBER: 0000899243-15-008064
CONFORMED SUBMISSION TYPE: 4
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20151109
FILED AS OF DATE: 20151112
DATE AS OF CHANGE: 20151112
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: 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
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: Becker Steven R
CENTRAL INDEX KEY: 0001349005
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-36632
FILM NUMBER: 151225353
MAIL ADDRESS:
STREET 1: 5525 NAKOMA DRIVE
CITY: DALLAS
STATE: TX
ZIP: 75209
4
1
doc4.xml
FORM 4 SUBMISSION
X0306
4
2015-11-09
0
0000808326
EMCORE CORP
EMKR
0001349005
Becker Steven R
C/O NORTHERN RIGHT CAPITAL MANAGEMENT, L
500 CRESCENT COURT, SUITE 230
DALLAS
TX
75201
1
0
0
0
Common Stock
2015-11-09
4
S
0
699
7.25
D
664088
I
See footnotes
Common Stock
2015-11-09
4
S
0
999
7.25
D
947321
I
See footnotes
Common Stock
2015-11-09
4
S
0
592
7.25
D
561823
I
See footnotes
Common Stock
7576
D
Represents Common Stock of the Issuer directly held by Northern Right Capital (QP), L.P. ("NRC QP").
Represents Common Stock of the Issuer directly held by Becker Drapkin Partners SLV, Ltd. ("BD SLV").
Represents Common Stock of the Issuer directly held by a managed account on behalf of an investment advisory client (the "Managed Account") of Northern Right Capital Management, L.P. ("NRC Management").
Sold pursuant to a 10b5-1 plan.
Mr. Becker may be deemed to beneficially own such Common Stock as he is a member of BC Advisors, LLC, which is the general partner of NRC Management (of which Mr. Becker is a limited partner), and NRC Management is the general partner of, and investment manager for, NRC QP, and the investment manager of each of BD SLV and the Managed Account. Mr. Becker disclaims beneficial ownership in such Common Stock except to the extent of his pecuniary interest therein.
These shares are directly held by Mr. Becker and were acquired pursuant to the EMCORE Corporation 2007 Directors' Stock Award Plan for Mr. Becker's service as a non-employee director.
/s/ Adam J. Brunk Name: Adam J. Brunk Title: Attorney-in-Fact
2015-11-11