-----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, Ql7gA7Lb+g/dXvi3lCSabO9C+Ll5Jh8ZuGHH9x3yea/wLHNdFSMz594aDihIiFIq n0R4En1GK9ZVKtLbLScsYA== /in/edgar/work/20000816/0000950127-00-000476/0000950127-00-000476.txt : 20000922 0000950127-00-000476.hdr.sgml : 20000922 ACCESSION NUMBER: 0000950127-00-000476 CONFORMED SUBMISSION TYPE: 3 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20000725 FILED AS OF DATE: 20000816 SUBJECT COMPANY: COMPANY DATA: COMPANY CONFORMED NAME: EMCORE CORP CENTRAL INDEX KEY: 0000808326 STANDARD INDUSTRIAL CLASSIFICATION: [3670 ] IRS NUMBER: 222746503 STATE OF INCORPORATION: NJ FISCAL YEAR END: 0930 FILING VALUES: FORM TYPE: 3 SEC ACT: SEC FILE NUMBER: 000-22175 FILM NUMBER: 703915 BUSINESS ADDRESS: STREET 1: 394 ELIZABETH AVENUE CITY: SOMERSET STATE: NJ ZIP: 08873 BUSINESS PHONE: 7322719090 MAIL ADDRESS: STREET 1: 394 ELIZABETH AVE CITY: SOMERSET STATE: NJ ZIP: 08873 COMPANY DATA: COMPANY CONFORMED NAME: FARLEY CRAIG CENTRAL INDEX KEY: 0001120359 STANDARD INDUSTRIAL CLASSIFICATION: [ ]OFFICER FILING VALUES: FORM TYPE: 3 BUSINESS ADDRESS: STREET 1: C/O EMCORE CORPORATION STREET 2: 145 BELMONT DRIVE CITY: SOMERSET STATE: NJ ZIP: 08873 BUSINESS PHONE: 7322719090 3 1 0001.txt INITIAL STATE/BENEFICIAL OWNERSHIP OF SECURITIES ------------------------------ OMB APPROVAL ------------------------------ OMB Number: 3235-0104 Expires: September 30, 1998 Estimated average burden hours per response ....... 0.5 ------------------------------ UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 3 INITIAL STATEMENT OF BENEFICIAL OWNERSHIP OF SECURITIES 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 ================================================================================ 1. Name and Address of Reporting Person* Farley, Craig W. - -------------------------------------------------------------------------------- (Last, First Middle) c/o EMCORE Corporation, 145 Belmont Drive - -------------------------------------------------------------------------------- (Street) Somerset, NJ 08873 - -------------------------------------------------------------------------------- (City, State Zip) ================================================================================ 2. Date of Event Requiring Statement (Month/Day/Year) 07/25/00 ================================================================================ 3. IRS or Social Security Number of Reporting Person (Voluntary) ================================================================================ 4. Issuer Name and Ticker or Trading Symbol EMCORE Corporation (EMKR) ================================================================================ 5. Relationship of Reporting Person(s) to Issuer (Check all applicable) [ ] Director [ ] 10% Owner [ X ] Officer (give title below) [ ] Other (specify below) Vice President - E2M -------------------------------------------------------------------- ================================================================================ 6. If Amendment, Date of Original (Month/Day/Year) ================================================================================ 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 5(b)(v) ================================================================================ Table I -- Non-Derivative Securities Beneficially Owned ================================================================================
3. Ownership Form: 2. Amount of Securities Direct (D) or 1. Title of Security Beneficially Owned Indirect (I) 4. Nature of Indirect Beneficial Ownership (Instr. 4) (Instr. 4) (Instr. 5) (Instr.5) - ------------------------------------------------------------------------------------------------------------------------------------ (1)Common Stock 171 D - ------------------------------------------------------------------------------------------------------------------------------------ (2) - ------------------------------------------------------------------------------------------------------------------------------------ (3) - ------------------------------------------------------------------------------------------------------------------------------------ ====================================================================================================================================
Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. ================================================================================ Table II -- Derivative Securities Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities) --------------------------------------------------------------------------------
3. Title and Amount of Securities Underlying Derivative Security 2. Date Exercisable (Instr. 4) and Expiration Date --------------------------------- (Month/Day/Year) Amount ---------------------- or Date Expira- Number 1. Title of Derivative Exer- tion of Security (Instr. 4) cisable Date Title Shares - ------------------------- ------------------------------------------------------------------------------- (1) Incentive Common Stock Options (1) 04/18/10 Common Stock 12,500 - ------------------------------------------------------------------------------------------------------------------ (2) Incentive Common Stock Options (2) 07/13/08 Common Stock 8,000 - ------------------------------------------------------------------------------------------------------------------ (3) Incentive Common Stock Options (3) 05/03/09 Common Stock 25,000 - ------------------------------------------------------------------------------------------------------------------ (4) Incentive Common Stock Options (4) 06/15/08 Common Stock 15,000 ======================================================================================================== (1) Options vest 5,000 on 9/30/00 and 2,500 annually thereafter beginning 4/18/01. (2) 2,000 options are currently vested and thus immediately exercisable. Reminder vest 2,000 annually beginning 7/13/01. (3) 5,000 options are currently vested and thus immediately exercisable. Remainder vest 5,000 annually beginning 5/3/01. (4) 6,000 options are currently vested and thus immediately exercisable. Remainder vest 3,000 annually beginning 6/15/01. - ------------------------------------------------------------------------------------------------------------------ -------------------------------------------------------------------------------- Table II (cont.) -- Derivative Securities Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities) -------------------------------------------------------------------------------- 5. Owner- ship Form of Derivative 4. Conver- Security: sion or Direct 6. Nature of Exercise (D) or Indirect Price of Indirect Beneficial 1. Title of Derivative Derivative (I) Ownership Security (Instr. 4) Security (Instr.5) (Instr. 5) - -------------------------------------------------------------------------------------------------------- (1) Incentive Common Stock Options $44.00 D - -------------------------------------------------------------------------------------------------------- (2) Incentive Common Stock Options $10.00 D - -------------------------------------------------------------------------------------------------------- (3) Incentive Common Stock Opitons $14.346 D - -------------------------------------------------------------------------------------------------------- (4) Incentive Common Stock Options $14.26 D ========================================================================================================
Explanation of Responses: /s/ Craig W. Farley 08/11/00 - --------------------------------------------- ----------------------- **Signature of Reporting Person Date ** 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 is insufficient. See Instruction 6 for procedure. Alternatively, this form is permitted to be submitted to the Commission in electronic format at the option of the reporting person pursuant to Rule 101(b)(4) of Regulation S-T. 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. SEC 1473 (7-96) -----END PRIVACY-ENHANCED MESSAGE-----