-----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, LXwgs+C3A8wJsXk5nbRSsNU5lXQrdZCKMWKyP5U/Gn8Yx4GZmbb6Kq7PAwQ/Ibsu e7WjsgRPB4pO3lRnPk47hw== 0000950127-01-500526.txt : 20020412 0000950127-01-500526.hdr.sgml : 20020412 ACCESSION NUMBER: 0000950127-01-500526 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20011031 FILED AS OF DATE: 20011207 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 SUBJECT COMPANY: COMPANY DATA: COMPANY CONFORMED NAME: EMCORE CORP CENTRAL INDEX KEY: 0000808326 STANDARD INDUSTRIAL CLASSIFICATION: SPECIAL INDUSTRY MACHINERY, NEC [3559] IRS NUMBER: 222746503 STATE OF INCORPORATION: NJ FISCAL YEAR END: 0930 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 000-22175 FILM NUMBER: 1808183 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 4 1 form4.txt STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP ------------------------------ OMB APPROVAL ------------------------------ OMB Number 3235-0287 Expires: December 31, 2001 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* Russell, Thomas J. - -------------------------------------------------------------------------------- (Last) (First) (Middle) Two North Tamiami Trail, Suite 1200 - -------------------------------------------------------------------------------- (Street) Sarasota, Florida 34236 - -------------------------------------------------------------------------------- (City) (State) (Zip) ================================================================================ 2. Issuer Name and Ticker or Trading Symbol EMCORE Corporation (EMKR) ================================================================================ 3. IRS Identification Number of Reporting Person (if an entity) (voluntary) ================================================================================ 4. Statement for Month/Year October 2001 ================================================================================ 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 - --------------------------------------------------------------------------------
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 10/26/01 X 822,256 A $5.10 - ------------------------------------------------------------------------------------------------------------------------------------ - -------------------------------------------------------------------------------- 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 2,384,824 D - ------------------------------------------------------------------------------------------------------------------ (2) Common Stock 2,556,730 I By AER 1997 Trust ==================================================================================================================
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 $5.10 10/26/01 X 822,256 Immediately 11/01/01 Warrant (right to buy) - -------------------------------------------------------------------------------- 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 10. Securities 9. Ownership (Instr. 3 and 4) Number of Form of ---------------- Derivative Derivative 11. 1. Amount 8. Securities Securities Nature of Title of or Price of Beneficially Beneficially Indirect Derivative Number Derivative Owned Owned at Beneficial Security of Security at End of Month End of Month Ownership (Instr. 3) Title Shares (Instr. 5) (Instr.4) (Instr. 4) (Instr. 4) - ------------------------------------------------------------------------------------------------------------------------------------ (1) Commmon Stock Common 822,256 0 Warrant (right to buy) ====================================================================================================================================
Explanation of Responses: /s/ Thomas Russell November 20, 2001 - --------------------------------------------- ----------------------- **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). SEC 1472 Note: File three copies of this Form, one of which must be manually (3-99) 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-----