-----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, Q4julHLzNmyRuvuCwcDPh5pmDKgOMCNzMjjnFAF65ncAIJLt3rQdOQO9iCZoGErt /9Rdo+xM7JHpxeDxmjOcqA== 0000950124-98-007300.txt : 19981211 0000950124-98-007300.hdr.sgml : 19981211 ACCESSION NUMBER: 0000950124-98-007300 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 19981201 FILED AS OF DATE: 19981210 SUBJECT COMPANY: COMPANY DATA: COMPANY CONFORMED NAME: EMCORE CORP CENTRAL INDEX KEY: 0000808326 STANDARD INDUSTRIAL CLASSIFICATION: ELECTRONIC COMPONENTS & ACCESSORIES [3670] IRS NUMBER: 222746503 FISCAL YEAR END: 0930 FILING VALUES: FORM TYPE: 4 SEC ACT: SEC FILE NUMBER: 000-22175 FILM NUMBER: 98767485 BUSINESS ADDRESS: STREET 1: 394 ELIZABETH AVENUE CITY: SOMERSET STATE: NJ ZIP: 08873 BUSINESS PHONE: 908271-909 MAIL ADDRESS: STREET 1: 394 ELIZABETH AVE CITY: SOMERSET STATE: NJ ZIP: 08873 COMPANY DATA: COMPANY CONFORMED NAME: TAKAYAMA SHIGEO CENTRAL INDEX KEY: 0001042775 STANDARD INDUSTRIAL CLASSIFICATION: [] OTHER FILING VALUES: FORM TYPE: 4 BUSINESS ADDRESS: STREET 1: 1155 AVE. OF THE AMERICAS CITY: NEW YORK STATE: NY ZIP: 10025 4 1 FORM 4 1 ------------------------- FORM 4 OMB APPROVAL UNITED STATES SECURITIES AND EXCHANGE COMMISSION ------------------------- [ ] Check this box if no longer WASHINGTON D.C. 20549 OMB Number: 3235-0287 subject to Section 16. Form Expires: September 30, 1998 4 or Form 5 obligations may STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP Estimated average burden continue. See Instruction 1(b). hours per response....0.5 ------------------------- 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 (Print or Type Responses) - ------------------------------------------------------------------------------------------------------------------------------------ 1.Name and Address of Reporting Person*| 2. Issuer Name and Ticker or Trading Symbol | 6. Relationship of Reporting Person(s) | | to Issuer | | (Check all applicable) Takayama Shigeo | EMCORE Corporation (EMKR) | __X__ Director _____ 10% Owner - -------------------------------------------------------------------------------------------| _____ Officer (give title below) (Last) (First) (Middle) | 3. IRS or Social | 4. Statement for | _____ Other (specify below) | Security Number | Month/Year | 1-1-13 Shinjuku | of Reporting | 12/98 | --------------------- - ---------------------------------------| Person (Voluntary) |-------------------------|---------------------------------------- (Street) | | |7. Individual or Joint/Group Filing | | | (Check Applicable Line) | | 5. If Amendment, | ___ Form filed by One Reporting Person | | Date of Original | ___ Form filed by More than One Shinjuku-ku, Tokyo 160 Japan | | (Month/Year) | Reporting Person - ------------------------------------------------------------------------------------------------------------------------------------ (City) (State) (Zip) | Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned - ------------------------------------------------------------------------------------------------------------------------------------ 1. Title of Security | 2. Transaction| 3. Transaction| 4. Securities Acquired(A)| 5. Amount of|6. Owner |7. Nature (Instr. 3) | Date | Code | or Disposed of (D) | Securities | -ship | of | (Month/Day/ | (Instr. 8) | (Instr. 3, 4 and 5) | Beneficially| Form: | Indirect | Year) | | | Owned at End| Direct | Bene- | | --------------|--------------------------| of Month | (D) or | ficial | | | | Amount | (A) | Price | (Instr. 3 | Indirect| Owner- | | Code | V | | or | | and 4) | (I) | ship | | | | | (D) | | |(Instr.4)|(Instr.4) - ---------------------------------------|---------------|-------|-------|--------|------|----------|-------------|---------|--------- | | | | | | | | |By Hakuto Common Stock | | | | | | | 442,368 | I |Co. Ltd. - ---------------------------------------|---------------|-------|-------|--------|------|----------|-------------|---------|--------- | | | | | | | | | - ---------------------------------------|---------------|-------|-------|--------|------|----------|-------------|---------|--------- | | | | | | | | | - ---------------------------------------|---------------|-------|-------|--------|------|----------|-------------|---------|--------- | | | | | | | | | - ---------------------------------------|---------------|-------|-------|--------|------|----------|-------------|---------|--------- | | | | | | | | | - ---------------------------------------|---------------|-------|-------|--------|------|----------|-------------|---------|--------- | | | | | | | | | - ---------------------------------------|---------------|-------|-------|--------|------|----------|-------------|---------|--------- | | | | | | | | | - ------------------------------------------------------------------------------------------------------------------------------------ Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. (Over) *If the form is filed by more than one reporting person, see Instruction 4(b)(v). SEC 1474 (7-96)
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FORM 4 (CONTINUED) TABLE II -- DERIVATIVE SECURITIES ACQUIRED, DISPOSED OF, OR BENEFICIALLY OWNED (E.G., PUTS, CALLS, WARRANTS, OPTIONS, CONVERTIBLE SECURITIES) - ------------------------------------------------------------------------------------------------------------------------------------ 1. Title of Derivative | 2. Conver- |3. Trans- |4. Trans- |5. Number of |6. Date Exer- |7. Title and Amount |8. Price Security | sion or | action | action | Derivative | cisable and | of Underlying | of (Instr. 3) | Exercise | Date | Code | Securities Ac- | Expiration | Securities | Deriv- | Price of | (Month/| (Instr. 8)| quired (A) or | Date | (Instr. 3 and 4) | ative | Deriv- | Day/ | | Disposed of (D)| (Month/Day/ | | Secur- | ative | Year) | | (Instr. 3, 4, | Year) | | ity | Security | | | and 5) | | | (Instr. 5) | | | | |-------------------------------------| | | | | |Date |Expira- | | Amount or | | | |-------------------------------|Exer- |tion | Title | Number of | | | | Code | V | (A) |(D) |cisable|Date | | Shares | | | | | | | | | | | | - ------------------------|-------------|----------|-------|----|--------|---------|-------|--------|--------|-----------|------------ Series I Redeemable | | | | | | | | | | | Convertible Preferred | | | | | | | | |Common | | Stock | $14.00 | 12/1/98 | P | |264,286 | |12/1/98| | Stock | 264,286 | $14.00 - ------------------------|-------------|----------|-------|----|--------|---------|-------|--------|--------|-----------|------------ | | | | | | | | | | | - ------------------------|-------------|----------|-------|----|--------|---------|-------|--------|--------|-----------|------------ | | | | | | | | | | | - ------------------------|-------------|----------|-------|----|--------|---------|-------|--------|--------|-----------|------------ | | | | | | | | | | | - ------------------------|-------------|----------|-------|----|--------|---------|-------|--------|--------|-----------|------------ | | | | | | | | | | | - ------------------------|-------------|----------|-------|----|--------|---------|-------|--------|--------|-----------|------------ | | | | | | | | | | | - ------------------------|-------------|----------|-------|----|--------|---------|-------|--------|--------|-----------|------------ | | | | | | | | | | | - ------------------------------------------------------------------------------------------------------------------------------------ 9. Number of | 10. Ownership | 11. Nature of Derivative | Form of | Indirect Securities | Derivative | Beneficial Beneficially | Security: | Ownership Owned at End | Direct (D) | (Instr. 4) of Month | or Indirect (I) | (Instr. 4) | (Instr. 4) | | | - ------------------|------------------------|------------------------------ 264,286 | I | By Hakuto Co. Ltd. - ------------------|------------------------|------------------------------ | | - ------------------|------------------------|------------------------------ | | - ------------------|------------------------|------------------------------ | | - ------------------|------------------------|------------------------------ | | - ------------------|------------------------|------------------------------ | | - -------------------------------------------------------------------------- Explanation of Responses: All shares reported hereunder are owned by Hakuto Co. Ltd., a Japanese Corporation of which Mr. Takayama is President and a significant stockholder. Mr. Takayama disclaims beneficial ownership of the shares reported hereunder. **Intentional misstatements or omissions of facts constitute Federal Criminal Violations. /s/ James M. Coonan 12/10/98 See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a). ------------------- ----------------- **Signature of Date Reporting Person Note: File three copies of this Form, one of which must be manually signed. If space is insufficient, see Instruction 6 for procedure. Page 2 SEC 1474 (7/96)
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