-----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, UwO9t4zt6d4VyDFlNmcTLC2PRRGpOa0tR2ZXs2Uph+vDqonx7tX0FYwSUU/dMgko OTE40tOLmOlCNifsGL184g== 0000950127-97-000217.txt : 19971211 0000950127-97-000217.hdr.sgml : 19971211 ACCESSION NUMBER: 0000950127-97-000217 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 19971210 FILED AS OF DATE: 19971210 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: SEC FILE NUMBER: 000-22175 FILM NUMBER: 97735706 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: WAGNER LAURENCE CENTRAL INDEX KEY: 0001035929 STANDARD INDUSTRIAL CLASSIFICATION: [] OFFICER FILING VALUES: FORM TYPE: 4 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 AVE CITY: SOMERSET STATE: NJ ZIP: 08893 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: Wagner, Laurence Street: c/o EMCORE Corporation, 394 Elizabeth Avenue City, State, Zip: Somerset, New Jersey 08873 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: September 1997 5. If Amendment, Date of Original (Month/Year) 6. Relationship of Reporting Person(s) to Issuer (Check all applicable) ( ) Director ( ) 10% Owner ( x ) Officer (give title below) ( ) Other (specify below) Vice President - Electronic Materials 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 10/09/97 M 1,200 shares A $4.08 (2) Common Stock 10/16/97 M 1,741 shares A $4.08 (3) Common Stock 11/12/97 S 150 shares D $19.50 (4) Common Stock 11/13/97 S 500 shares D $18.38 (5) Common Stock 11/13/97 S 500 shares D $19.00 (6) Common Stock 11/14/97 S 1,291 shares D $19.00 (7) Common Stock 11/14/97 S 500 shares D $19.25 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 D (2) Common Stock D (3) Common Stock D (4) Common Stock D (5) Common Stock D (6) Common Stock D (7) Common Stock 0 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) Incentive Common Stock Options (right to $4.08 10/09/97 M 1,200 buy) (2) Incentive Common Stock Options (right to $4.08 10/16/97 M 1,741 buy) 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) Incentive Common Stock Options (right to buy) Immed. 5/01/01 Common Stock 1,200 (2) Incentive Common Stock Options (right to buy) Immed. 5/01/01 Common Stock 1,741 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) Incentive Common Stock Options (right to D buy) (2) Incentive Common Stock Options (right to 11,675(1) D buy)
Explanation of Responses: (1) These remaining options vest in four equal annual installments commencing March 18, 1998. Name of Reporting Person: Laurence Wagner By /s/ Laurence Wagner December 5, 1997 **Signature of Reporting Person Date Name: Laurence Wagner Title: Vice President ** 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. -----END PRIVACY-ENHANCED MESSAGE-----