11-K 1 a11-k.txt ANNUAL REPORT UNITED STATES SECURITES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 11-K (Mark one) [X] ANNUAL REPORT PURSUANT TO SECTION 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 (FEE REQUIRED) For the calendar year ended December 31, 2001 [ ] TRANSITION REPORT PURSUANT TO SECTION 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 [NO FEE REQUIRED] For the transition period from _______ to _______ Commission File No.: 0-22175 A. Full title of the plan and the address of the plan, if different from that of the issuer named below: EMCORE Corporation 401(k) Savings Plan B. Name of issuer of the securities held pursuant to the plan and the address of its principal executive office: EMCORE Corporation 145 Belmont Drive Somerset, NJ 08873 (732) 271-9090 REQUIRED INFORMATION EMCORE Corporation 401(k) Savings Plan ("Plan") is subject to the Employee Retirement Income Security Act of 1974 ("ERISA"). Therefore, in lieu of the requirements of Items 1-3 of Form 11-K, the financial statements and schedules of the Plan for the two calendar years ended December 31, 2001 and 2000, which have been prepared in accordance with the financial reporting requirements of ERISA, are attached hereto and incorporated herein by this reference. SIGNATURES The Plan. Pursuant to the requirements of the Securities and Exchange Act of 1934, the trustee (or other persons who administer the employee benefit plan) have duly caused this annual report to be signed on its behalf by the undersigned hereunto duly authorized. EMCORE Corporation 401(k) Savings Plan /s/ Thomas G. Werthan June 28, 2002 --------------------------------------------- ---------------- Thomas G. Werthan Date Chief Financial Officer, Director and Trustee