-----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, WOTVdTLbmE4DR4vIkNp+tLzc/sonOSD9mo4E3oqBFRgXgepuStDWjthx7ziCcS/A OUYxCd6EeCjBSsulzMcMWw== 0000950127-01-500530.txt : 20020412 0000950127-01-500530.hdr.sgml : 20020412 ACCESSION NUMBER: 0000950127-01-500530 CONFORMED SUBMISSION TYPE: 3 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20011206 FILED AS OF DATE: 20011207 COMPANY DATA: COMPANY CONFORMED NAME: HOU HONG Q CENTRAL INDEX KEY: 0001156899 STANDARD INDUSTRIAL CLASSIFICATION: [] OFFICER FILING VALUES: FORM TYPE: 3 BUSINESS ADDRESS: STREET 1: EMCORE CORP STREET 2: 145 BELMONT DRIVE CITY: SOMERSET STATE: NJ ZIP: 08873 BUSINESS PHONE: 7372719090 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: 3 SEC ACT: 1934 Act SEC FILE NUMBER: 000-22175 FILM NUMBER: 1808220 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 3 1 ahou1.txt ------------------------------ OMB APPROVAL ------------------------------ OMB Number: 3235-0104 Expires: October 31, 2001 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* Hou Hong Q. - -------------------------------------------------------------------------------- (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) October 1, 2000 ================================================================================ 3. IRS Identification Number of Reporting Person, if an entity (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 ================================================================================ 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 ================================================================================ 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 17,360 D - ------------------------------------------------------------------------------------------------------------------------------------ ====================================================================================================================================
================================================================================ 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 (1) 3/9/08 Common Stock 176,000 Stock Options - ------------------------------------------------------------------------------------------------------------------ (2) Incentive Common Stock Options (2) 1/4/10 Common Stock 20,000 - ------------------------------------------------------------------------------------------------------------------ (3) Incentive Common Stock Options (3) 4/14/10 Common Stock 20,000 - ------------------------------------------------------------------------------------------------------------- (1) 120,000 currently vested; 40,000 vest 3/9/02 and balance vest 3/9/03. (2) 4,000 currently vested; remainder vest 4,000 per year beginning 1/4/02. (3) 12,000 currently vested; remainder vest 4,000 per year beginning 2/16/02. -------------------------------------------------------------------------------- Table II (cont.) -- Derivative Securities Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities) -------------------------------------------------------------------------------- 5. Owner- ship Form of Derivative 4. Conver- Securities: 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 $5.88 D Stock Options - -------------------------------------------------------------------------------------------------------- (2) Incentive Common $22.00 D Stock Options - -------------------------------------------------------------------------------------------------------- (3) Incentive Common Stock Options $22.00 D - -------------------------------------------------------------------------------------------------------- ========================================================================================================
Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. Explanation of Responses: /s/ Hong Q. Hou December 5, 2001 - --------------------------------------------- ----------------------- **Signature of Reporting Person Date * If the Form is filed by more than one Reporting Person, see Instruction 5(b)(v) ** 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-----