-----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, PnVhceXLANzLZoqupSm3I54U+Y6gPaVfuPFBi90vsOxHkoBxg9RNaOReqRCZq5PV NfznQxyggzEcdwS5wa+4GA== 0000950127-97-000062.txt : 19970411 0000950127-97-000062.hdr.sgml : 19970411 ACCESSION NUMBER: 0000950127-97-000062 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 19970410 FILED AS OF DATE: 19970410 SROS: NASD 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: 1934 Act SEC FILE NUMBER: 000-22175 FILM NUMBER: 97578098 BUSINESS ADDRESS: STREET 1: 394 ELIZABETH AVENUE CITY: SOMERSET STATE: NJ ZIP: 08873 BUSINESS PHONE: 908271-909 COMPANY DATA: COMPANY CONFORMED NAME: RUSSELL THOMAS CENTRAL INDEX KEY: 0001035930 STANDARD INDUSTRIAL CLASSIFICATION: [] DIRECTOR FILING VALUES: FORM TYPE: 4 BUSINESS ADDRESS: STREET 1: C/O JESUP & MERCHANT PARTNERS LLC STREET 2: 650 FIFTH AVENUE CITY: NEW YORK STATE: NY ZIP: 10019 BUSINESS PHONE: 2123072670 4 1 U.S. SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 FORM 4 OMB APPROVAL OMB Number: 3235-0287 Expires: September 30, 1998 Estimated average burden hours per response: 0.5 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 ( ) 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* Last, First, Middle: Russell, Thomas J. Street: c/o JLMP, 650 Fifth Avenue, 3rd Floor City, State, Zip: New York, New York 10019 2. Issuer Name and Ticker or Trading Symbol: EMCORE Corporation - EMKR 3. IRS or Social Security Number of Reporting Person (Voluntary) 4. Statement for Month/Year: March 1997 5. If Amendment, Date of Original (Month/Year) 6. Relationship of Reporting Person(s) to Issuer (Check all applicable) ( x ) Director ( x ) 10% Owner ( ) Officer (give title below) ( ) Other (specify below) 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 1. Title of Security 2. Transaction Date 3. Transaction 4. Securities Acquired (A) (Instr. 3) (Month/Day/Year) Code or Disposed of (D) (Instr. 8) (Instr. 3, 4, and 5) (A) or Code V Amount (D) Price (1) Common Stock 3/06/97 P 75,000 A $9.94 shares (2) Common Stock 3/06/97 P 3,775 A $9.00 shares (3) Common Stock 3/17/97 P 20,000 A $12.19 shares (4) Common Stock 3/19/97 P 8,000 A $12.13 shares (5) Common Stock 3/20/97 P 10,000 A $12.13 shares (6) Common Stock 3/24/97 P 13,000 A $11.88 shares (7) Common Stock 3/25/97 P 22,500 A $11.50 shares (8) Common Stock 3/27/97 P 22,000 A $11.50 shares Table I -- Continued 1. Title of Security 5. Amount of Securities 6. Ownership Form: 7. Nature of Indirect (Instr. 3) Beneficially Owned Direct (D) or Beneficial Ownership at End of Month Indirect (I) (Instr. 4) (Instr. 3 and 4) (Instr. 4) (1) Common Stock 1,795,833 shares D (2) Common Stock 1,795,833 shares D (3) Common Stock 1,795,833 shares D (4) Common Stock 1,795,833 shares D (5) Common Stock 1,795,833 shares D (6) Common Stock 1,795,833 shares D (7) Common Stock 1,795,833 shares D (8) Common Stock 1,795,833 shares D
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) 1. Title of Derivative Security 2. Conver- 3. Trans- 4. Transac- 5. Number of Deriv- (Instr. 3) sion or action tion Code ative Securities Exercise Date (Instr. 8) Acquired (A) or Price of (Month/ Disposed of (D) Deriv- Day/ (Instr. 3, 4 and 5) ative Year) Security Code V (A) (D) (1) Table II -- Continued 1. Title of Derivative Security 6. Date Exercisable and 7. Title and Amount of (Instr. 3) Expiration Date Underlying Securities (Month/Day/Year) (Instr. 3 and 4) Amount or Date Expiration Number of Exercisable Date Title Shares (1) Table II -- Continued 1. Title of Derivative Security 8. Price of 9. Number of 10. Ownership 11. Nature of (Instr. 3) Derivative Derivative Form of Indirect Security Securities Derivative Beneficial (Instr. 5) Beneficially Security: Ownership Owned at End Direct (D) (Instr. 4) of Month or Indirect (Instr. 4) (I) (Instr. 4) (1)
Explanation of Responses: Thomas J. Russell By /s/ Thomas G. Werthan April 7, 1997 **Signature of Reporting Person Date Name: Thomas G. Werthan Title: Attorney-in-fact Attorney-in-fact ** Intentional misstatements or omissions of facts constitute Federal Criminal Violations. See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a). Note: File three copies of this Form, one of which must be manually signed. If space provided is insufficient, see Instruction 6 for procedure. 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. EX-24 2 POWER OF ATTORNEY POWER OF ATTORNEY Know all by these presents, that the undersigned hereby constitutes and appoints each of Reuben F. Richards, Jr. and Thomas G. Werthan, signing singly, the undersigned's true and lawful attorney-in-fact to: (1) execute for and on behalf of the undersigned, in the undersigned's capacity as an officer and/or director of EMCORE Corporation (the "Company"), Forms 3, 4, and 5 in accordance with Section 16(a) of the Securities Exchange Act of 1934 and the rules thereunder; (2) do and perform any and all acts for and on behalf of the undersigned which may be necessary or desirable to complete and execute any such Form 3, 4, or 5 and timely file such form with the United States Securities and Exchange Commission and any stock exchange or similar authority; and (3) take any other action of any type whatsoever in connection with the foregoing which, in the opinion of such attorney-in-fact, may be of benefit to, in the best interest of, or legally required by, the undersigned, it being understood that the documents executed by such attorney-in-fact on behalf of the undersigned pursuant to this Power of Attorney shall be in such form and shall contain such terms and conditions as such attorney-in-fact may approve in such attorney-in- fact's discretion. The undersigned hereby grants to each such attorney-in-fact full power and authority to do and perform any and every act and thing whatsoever requisite, necessary, or proper to be done in the exercise of any of the rights and powers herein granted, as fully to all intents and purposes as the undersigned might or could do if personally present, with full power of substitution or revocation, hereby ratifying and confirming all that such attorney-in-fact, or such attorney-in-fact's substitute or substitutes, shall lawfully do or cause to be done by virtue of this power of attorney and the rights and powers herein granted. The undersigned acknowledges that the foregoing attorneys-in-fact, in serving in such capacity at the request of the undersigned, are not assuming, nor is the Company assuming, any of the undersigned's responsibilities to comply with Section 16 of the Securities Exchange Act of 1934. This Power of Attorney shall remain in full force and effect until the undersigned is no longer required to file Forms 3, 4, and 5 with respect to the undersigned's holdings of and transactions in securities issued by the Company, unless earlier revoked by the undersigned in a signed writing delivered to the foregoing attorneys-in-fact. In Witness Whereof, the undersigned has caused this Power of Attorney to be executed as of this 3rd day of April, 1997. /s/ Thomas J. Russell Signature Thomas J. Russell Print Name -----END PRIVACY-ENHANCED MESSAGE-----