-----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, LWoFS33P82anhpBFNBeaOEO47/gL+6a16t1vy8Co9/E0ROhuqLawm8K74vTPjlWQ 8jX9/IsoTra1TJH5drosaQ== /in/edgar/work/20000911/0000950127-00-000505/0000950127-00-000505.txt : 20000922 0000950127-00-000505.hdr.sgml : 20000922 ACCESSION NUMBER: 0000950127-00-000505 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20000831 FILED AS OF DATE: 20000911 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: 4 SEC ACT: SEC FILE NUMBER: 000-22175 FILM NUMBER: 719868 BUSINESS ADDRESS: STREET 1: 145 BELMONT DRIVE CITY: SOMERSET STATE: NJ ZIP: 08873 BUSINESS PHONE: 7322719090 MAIL ADDRESS: STREET 1: 145 BELMONT DRIVE CITY: SOMERSET STATE: NJ ZIP: 08873 COMPANY DATA: COMPANY CONFORMED NAME: STALL RICHARD A CENTRAL INDEX KEY: 0001035935 STANDARD INDUSTRIAL CLASSIFICATION: [ ]DIRECTOR 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 4 1 0001.txt STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP ------------------------------ OMB APPROVAL ------------------------------ OMB Number 3235-0287 Expires: September 30, 1998 Estimated average burden hours per response ....... 0.5 ------------------------------ UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 4 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* Stall, Richard A. - -------------------------------------------------------------------------------- (Last, First Middle) c/o EMCORE Corporation, 145 Belmont Drive - -------------------------------------------------------------------------------- (Street) Somerset, NJ 08873 - -------------------------------------------------------------------------------- (City, State Zip) ================================================================================ 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 August 2000 ================================================================================ 5. If Amendment, Date of Original (Month/Year) ================================================================================ 6. Relationship of Reporting Person(s) to Issuer (Check all applicable) [ X ] Director [ ] 10% Owner [ X ] Officer (give title below) [ ] Other (specify below) Vice President --------------------------- ================================================================================ 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) Common Stock 08/16/00 S 300 D $103.875 - ------------------------------------------------------------------------------------------------------------------------------------ (2) Common Stock 08/16/00 S 600 D $103.875 - ------------------------------------------------------------------------------------------------------------------------------------ (3) Common Stock 08/15/00 S 100 D $100.188 - ------------------------------------------------------------------------------------------------------------------------------------ (4) Common Stock 08/15/00 S 400 D $100.188 - ------------------------------------------------------------------------------------------------------------------------------------ (5) Common Stock 08/16/00 S 100 D $104.313 - ------------------------------------------------------------------------------------------------------------------------------------ (6) Common Stock 08/14/00 S 500 D $99.875 - ------------------------------------------------------------------------------------------------------------------------------------ (7) Common Stock 08/09/00 S 100 D $97.063 - ------------------------------------------------------------------------------------------------------------------------------------ (8) Common Stock 08/15/00 S 500 D $100.188 - ------------------------------------------------------------------------------------------------------------------------------------ (9) Common Stock 08/14/00 S 500 D $99.875 - ------------------------------------------------------------------------------------------------------------------------------------ (10) Common Stock 08/09/00 S 800 D $99.813 - ------------------------------------------------------------------------------------------------------------------------------------ (11) Common Stock 08/09/00 S 100 D $99.375 - ------------------------------------------------------------------------------------------------------------------------------------ (12) Common Stock 08/09/00 S 700 D $97.875 - ------------------------------------------------------------------------------------------------------------------------------------ (13) Common Stock 08/09/00 S 100 D $97.875 - ------------------------------------------------------------------------------------------------------------------------------------ (14) Common Stock 08/09/00 S 100 D $98.063 - ------------------------------------------------------------------------------------------------------------------------------------ (15) Common Stock 08/09/00 S 100 D $98.125 - ------------------------------------------------------------------------------------------------------------------------------------ (16) Common Stock 08/17/00 S 1,800 D $102.875 - ------------------------------------------------------------------------------------------------------------------------------------ (17) Common Stock 08/17/00 S 100 D $102.927 - ------------------------------------------------------------------------------------------------------------------------------------ (18) Common Stock 08/17/00 S 1,600 D $103.375 - ------------------------------------------------------------------------------------------------------------------------------------ (19) Common Stock 08/17/00 S 300 D $103.563 - ------------------------------------------------------------------------------------------------------------------------------------ (20) Common Stock 08/17/00 S 200 D $103.625 - ------------------------------------------------------------------------------------------------------------------------------------ (21) Common Stock 08/17/00 S 1,000 D $103.875 - ------------------------------------------------------------------------------------------------------------------------------------ - -------------------------------------------------------------------------------- Table I (cont.) -- Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned - -------------------------------------------------------------------------------- 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) Common Stock 42,669 (D) - ------------------------------------------------------------------------------------------------------------------ (2) - ------------------------------------------------------------------------------------------------------------------ (3) - ------------------------------------------------------------------------------------------------------------------ (4) - ------------------------------------------------------------------------------------------------------------------ (5) - ------------------------------------------------------------------------------------------------------------------ (6) - ------------------------------------------------------------------------------------------------------------------ (7) - ------------------------------------------------------------------------------------------------------------------ (8) - ------------------------------------------------------------------------------------------------------------------ (9) - ------------------------------------------------------------------------------------------------------------------ (10) - ------------------------------------------------------------------------------------------------------------------ (11) - ------------------------------------------------------------------------------------------------------------------ (12) - ------------------------------------------------------------------------------------------------------------------ (13) - ------------------------------------------------------------------------------------------------------------------ (14) - ------------------------------------------------------------------------------------------------------------------ (15) - ------------------------------------------------------------------------------------------------------------------ (16) - ------------------------------------------------------------------------------------------------------------------ (17) - ------------------------------------------------------------------------------------------------------------------ (18) - ------------------------------------------------------------------------------------------------------------------ (19) - ------------------------------------------------------------------------------------------------------------------ (20) - ------------------------------------------------------------------------------------------------------------------ (21) - ------------------------------------------------------------------------------------------------------------------ (22) - ------------------------------------------------------------------------------------------------------------------ (23) - ------------------------------------------------------------------------------------------------------------------ (24) - ------------------------------------------------------------------------------------------------------------------ (25) - ------------------------------------------------------------------------------------------------------------------ ==================================================================================================================
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) Incentive Common Stock Options $13.57 08/16/00 M 5,000 (1) 02/27/08 - ------------------------------------------------------------------------------------------------------------------------------------ (2) - ------------------------------------------------------------------------------------------------------------------------------------ (3) - ------------------------------------------------------------------------------------------------------------------------------------ (4) - ------------------------------------------------------------------------------------------------------------------------------------ (5) - ------------------------------------------------------------------------------------------------------------------------------------ (6) - ------------------------------------------------------------------------------------------------------------------------------------ (7) - ------------------------------------------------------------------------------------------------------------------------------------ (8) - ------------------------------------------------------------------------------------------------------------------------------------ (9) - ------------------------------------------------------------------------------------------------------------------------------------ (10) - ------------------------------------------------------------------------------------------------------------------------------------ (11) - ------------------------------------------------------------------------------------------------------------------------------------ (12) - ------------------------------------------------------------------------------------------------------------------------------------ (13) - ------------------------------------------------------------------------------------------------------------------------------------ (14) - ------------------------------------------------------------------------------------------------------------------------------------ (15) - ------------------------------------------------------------------------------------------------------------------------------------ (16) - ------------------------------------------------------------------------------------------------------------------------------------ (17) - ------------------------------------------------------------------------------------------------------------------------------------ (18) - ------------------------------------------------------------------------------------------------------------------------------------ (19) - ------------------------------------------------------------------------------------------------------------------------------------ (20) - ------------------------------------------------------------------------------------------------------------------------------------ (21) - ------------------------------------------------------------------------------------------------------------------------------------ (22) - ------------------------------------------------------------------------------------------------------------------------------------ (23) - ------------------------------------------------------------------------------------------------------------------------------------ (24) - ------------------------------------------------------------------------------------------------------------------------------------ (25) - ------------------------------------------------------------------------------------------------------------------------------------ - -------------------------------------------------------------------------------- Table II (cont.) -- Derivative Securities Acquired, Disposed of, or Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities) - -------------------------------------------------------------------------------- 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) Incentive Common Stock Options Common Stock 5,000 45,000 D - ------------------------------------------------------------------------------------------------------------------------------------ (2) - ------------------------------------------------------------------------------------------------------------------------------------ (3) - ------------------------------------------------------------------------------------------------------------------------------------ (4) - ------------------------------------------------------------------------------------------------------------------------------------ (5) - ------------------------------------------------------------------------------------------------------------------------------------ (6) - ------------------------------------------------------------------------------------------------------------------------------------ (7) - ------------------------------------------------------------------------------------------------------------------------------------ (8) - ------------------------------------------------------------------------------------------------------------------------------------ (9) - ------------------------------------------------------------------------------------------------------------------------------------ (10) - ------------------------------------------------------------------------------------------------------------------------------------ (11) - ------------------------------------------------------------------------------------------------------------------------------------ (12) - ------------------------------------------------------------------------------------------------------------------------------------ (13) - ------------------------------------------------------------------------------------------------------------------------------------ (14) - ------------------------------------------------------------------------------------------------------------------------------------ (15) - ------------------------------------------------------------------------------------------------------------------------------------ (16) - ------------------------------------------------------------------------------------------------------------------------------------ (17) - ------------------------------------------------------------------------------------------------------------------------------------ (18) - ------------------------------------------------------------------------------------------------------------------------------------ (19) - ------------------------------------------------------------------------------------------------------------------------------------ (20) - ------------------------------------------------------------------------------------------------------------------------------------ (21) - ------------------------------------------------------------------------------------------------------------------------------------ (22) - ------------------------------------------------------------------------------------------------------------------------------------ (23) - ------------------------------------------------------------------------------------------------------------------------------------ (24) - ------------------------------------------------------------------------------------------------------------------------------------ (25) ==================================================================================================================================== (1) 35,000 options immediately exercisable; remainder vest 02/27/01
Explanation of Responses: /s/ Richard A. Stall September 8, 2000 - --------------------------------------------- ----------------------- **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 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-----