0000899243-15-008843.txt : 20151124 0000899243-15-008843.hdr.sgml : 20151124 20151124183019 ACCESSION NUMBER: 0000899243-15-008843 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20151120 FILED AS OF DATE: 20151124 DATE AS OF CHANGE: 20151124 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: 151253922 MAIL ADDRESS: STREET 1: 5525 NAKOMA DRIVE CITY: DALLAS STATE: TX ZIP: 75209 4 1 doc4.xml FORM 4 SUBMISSION X0306 4 2015-11-20 0 0000808326 EMCORE CORP EMKR 0001349005 Becker Steven R C/O NORTHERN RIGHT CAPITAL MANAGEMENT, L.P. 500 CRESCENT COURT, SUITE 230 DALLAS TX 75201 1 0 0 0 Common Stock 2015-11-20 4 S 0 28319 7.331 D 635769 I See footnotes Common Stock 2015-11-23 4 S 0 50889 7.3317 D 584880 I See footnotes Common Stock 2015-11-24 4 S 0 32083 7.3023 D 552797 I See footnotes Common Stock 2015-11-20 4 S 0 40443 7.331 D 906878 I See footnotes Common Stock 2015-11-23 4 S 0 72675 7.3317 D 834203 I See footnotes Common Stock 2015-11-24 4 S 0 45819 7.3023 D 788384 I See footnotes Common Stock 2015-11-20 4 S 0 23974 7.331 D 537849 I See footnotes Common Stock 2015-11-23 4 S 0 43081 7.3317 D 494768 I See footnotes Common Stock 2015-11-24 4 S 0 27161 7.3023 D 467607 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/ Steven R. Becker 2015-11-24