-----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, ESYcYtIlfZXtdXiIipbj4hzQUBUtm+duf/GiDXudvKqjodJC8HC3k1Fhk3mtR5xV 5SiVvqUYtenK7SWVm/m4ow== 0000950127-02-000939.txt : 20020910 0000950127-02-000939.hdr.sgml : 20020910 20020910164614 ACCESSION NUMBER: 0000950127-02-000939 CONFORMED SUBMISSION TYPE: 5 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20020904 FILED AS OF DATE: 20020910 REPORTING-OWNER: COMPANY DATA: COMPANY CONFORMED NAME: STALL RICHARD A CENTRAL INDEX KEY: 0001035935 RELATIONSHIP: DIRECTOR FILING VALUES: FORM TYPE: 5 BUSINESS ADDRESS: STREET 1: C/O EMCORE CORP STREET 2: 394 ELIZABETH AVENUE CITY: SOMERSET STATE: NJ ZIP: 08893 BUSINESS PHONE: 9082719090 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: 5 SEC ACT: 1934 Act SEC FILE NUMBER: 000-22175 FILM NUMBER: 02760903 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 5 1 stall_.txt STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP ------------------------------ OMB APPROVAL ------------------------------ OMB Number: 3235-0362 Expires: January 31, 2005 Estimated average burden hours per response ....... 1.0 ------------------------------ U.S. SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 5 ANNUAL 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 box if no longer subject to Section 16. Form 4 or Form 5obligations may continue. See Instruction 1(b). [ ] Form 3 Holdings Reported [ ] Form 4 Transactions Reported ================================================================================ 1. Name and Address of Reporting Person* Richard Stall - -------------------------------------------------------------------------------- (Last) (First) (Middle) c/o EMCORE Corporation, 145 Belmont Drive - -------------------------------------------------------------------------------- (Street) Somerset, New Jersey 08873 - -------------------------------------------------------------------------------- (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 September 2002 ================================================================================ 5. If Amendment, Date of Original (Month/Year) ================================================================================ 6. Relationship of Reporting Person to Issuer (Check all applicable) [ X ] Director [ ] 10% Owner [ X ] Officer (give title below) [ ] Other (specify below) Chief Technology Officer ================================================================================ 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 Acquired, Disposed of, or Beneficially Owned - --------------------------------------------------------------------------------
4. Securities Acquired (A) or Disposed of (D) (Instr. 3, 4 and 5) 2. 3. ----------------------------- 1. Transaction Transaction (A) Title of Security Date Code Amount or Price (Instr. 3) (mm/dd/yy) (Instr. 8) (D) - ------------------------------------------------------------------------------------------------------------------------------- (1) Common Stock 12/20/01 G 2,600 D $0.00 - ------------------------------------------------------------------------------------------------------------------------------- - -------------------------------------------------------------------------------- Table I (cont.) -- Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned - -------------------------------------------------------------------------------- 5. Amount of Securities 6. 7. Beneficially Ownership Nature of Owned at End Form: Indirect 1. of Issuer's Direct (D) Beneficial Title of Security Fiscal Year or Indirect Ownership (Instr. 3) (Instr. 3 & 4) (I) (Instr.4) (Instr. 4) - ------------------------------------------------------------------------------------------------------------------------------------ (1) Common Stock 110,397 D ====================================================================================================================================
* If the form is filed by more than one Reporting Person, see Instruction 4(b)(v). 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) - ------------------------------------------------------------------------------------------------------------------------------------ - -------------------------------------------------------------------------------- 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 of ---------------- Derivative Derivative 11. 1. Amount 8. Securities Security: Nature of Title of or Price of Beneficially Direct Indirect Derivative Number Derivative Owned (D) or In- Beneficial Security of Security at End of Year direct (I) Ownership (Instr. 3) Title Shares (Instr. 5) (Instr.4) (Instr. 4) (Instr. 4) - ------------------------------------------------------------------------------------------------------------------------------------ (1) ====================================================================================================================================
Explanation of Responses: /s/Richard Stall September 6, 2002 - --------------------------------------------- ----------------------- **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 provided 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. -----END PRIVACY-ENHANCED MESSAGE-----