-----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, QK5gRdrdwRuORPcefc0sjaeoLbjkmOZ/7W2voVfJzgRsGhTqZBa3b6zn33WfXUe5 0vh/puu5V8quUsP1lQ+w/A== 0000950127-98-000272.txt : 19980714 0000950127-98-000272.hdr.sgml : 19980714 ACCESSION NUMBER: 0000950127-98-000272 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 19980630 FILED AS OF DATE: 19980710 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: 98664001 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: 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 STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 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 - -------------------------------------------------------------------------------- Street: Two North Tamiami Trail, Suite 1200 - -------------------------------------------------------------------------------- City, State, Zip: Sarasota, FL 34326 ================================================================================ 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 June 1998 ================================================================================ 5. If Amendment, Date of Original (Month/Year) ================================================================================ 6. Relationship of Reporting Person(s) to Issuer (Check all applicable) [ X ] Director [ ] 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 - --------------------------------------------------------------------------------
4. Securities Acquired (A) or 3. Disposed of (D) Transaction (Instr. 3, 4 and 5) 2. Code ----------------------------- 1. Transaction (Instr. 8) (A) Title of Security Date ------------ Amount or Price (Instr. 3) (mm/dd/yy) Code V (D) - ------------------------------------------------------------------------------------------------------------------------------------ (1) - -------------------------------------------------------------------------------- Table I -- Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned (continued) - -------------------------------------------------------------------------------- 5. 6. Owner- Amount of ship Securities Form: 7. Beneficially Direct Nature of Owned at End (D) or Indirect 1. of Month Indirect Beneficial Title of Security (Instr. 3 (I) Ownership (Instr. 3) and 4) (Instr.4) (Instr. 4) - ------------------------------------------------------------------------------------------------------------------ (1) ==================================================================================================================
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) - --------------------------------------------------------------------------------
6. Date 5. Exercisable and 2. 4. Number of Derivative Expiration Date 1. Conversion or Transaction Securities Acquired (A) (Month/Day/Year) Title of Exercise 3. Code or Disposed of (D) ---------------- Derivative Price of Transaction (Instr. 8) (Instr. 3, 4 and 5) Date Expira- Security Derivative Date (Month/ ------ ----------------------- Exer- tion (Instr. 3) Security Day/Year) Code V A) (D) cisable Date - ------------------------------------------------------------------------------------------------------------------------------------ (1) Common Stock Warrant $4.08 6/8/98 P 10,000 Immed. 5/1/01 (right to buy) (2) Common Stock Warrant $11.50 6/30/98 X* Immed. 5/1/01 (right to buy) - -------------------------------------------------------------------------------- Table II -- Derivative Securities Acquired, Disposed of, or Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities) (cont.) - -------------------------------------------------------------------------------- 7. Title and Amount of Underlying Securities 9. 10. (Instr. 3 and 4) Number of Ownership ---------------- Derivative Form of 11. 1. Amount 8. Securities Derivative Nature of Title of or Price of Beneficially Security: Indirect Derivative Number Derivative Owned Direct (D) Beneficial Security of Security at End of Month or Indirect Ownership (Instr. 3) Title Shares (Instr. 5) (Instr.4) (I) (Instr. 4) (Instr. 4) - ------------------------------------------------------------------------------------------------------------------------------------ (1) Common Stock Warrant Common 10,000 $14.00 D (right to buy) (2) Common Stock Warrant Common 142,342 * 152,342 D (right to buy) ====================================================================================================================================
*Warrants issued to reporting person in exchange for guarantee of certain Company indebtedness By: /s/ Thomas G. Werthan 7/10/98 - --------------------------------------------- ----------------------- Name: Thomas G. Werthan Date 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 procedures. 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-----