-----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, Uwr7jJtAzELkk/2P25gopXqSkHVrQsU2RnczBjAhIjAfyOrj65IIXsZIfMxR92qR 7/BFTkFWdZW/NK9A3yJ81w== 0000950127-97-000032.txt : 19970319 0000950127-97-000032.hdr.sgml : 19970319 ACCESSION NUMBER: 0000950127-97-000032 CONFORMED SUBMISSION TYPE: 3 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 19970317 FILED AS OF DATE: 19970317 SROS: NASD SUBJECT COMPANY: COMPANY DATA: COMPANY CONFORMED NAME: EMCORE CORP CENTRAL INDEX KEY: 0000808326 STANDARD INDUSTRIAL CLASSIFICATION: ELECTRONIC COMPONENTS & ACCESSORIES [3670] IRS NUMBER: 222746503 FISCAL YEAR END: 0930 FILING VALUES: FORM TYPE: 3 SEC ACT: 1934 Act SEC FILE NUMBER: 000-22175 FILM NUMBER: 97558158 BUSINESS ADDRESS: STREET 1: 394 ELIZABETH AVENUE CITY: SOMERSET STATE: NJ ZIP: 08873 BUSINESS PHONE: 908271-909 COMPANY DATA: COMPANY CONFORMED NAME: WERTHAN THOMAS G CENTRAL INDEX KEY: 0001035937 STANDARD INDUSTRIAL CLASSIFICATION: [] DIRECTOR FILING VALUES: FORM TYPE: 3 BUSINESS ADDRESS: STREET 1: C/O EMCORE CORP STREET 2: 394 ELIZABETH AVENUE CITY: SOMERSET STATE: NJ ZIP: 08893 BUSINESS PHONE: 9082719090 MAIL ADDRESS: STREET 1: C/O EMCORE CORP STREET 2: 394 ELIZABETH AVENUE CITY: SOMERSET STATE: NJ ZIP: 08893 3 1 INITIAL STATEMENT OF BENEFICIAL OWNERSHIP OF SECURITIES U.S. SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 FORM 3 OMB APPROVAL OMB Number: 3235-0104 Expires: September 30, 1998 Estimated average burden hours per response: 0.5 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* Last, First, Middle: Werthan, Thomas G. Street: c/o EMCORE Corporation, 394 Elizabeth Avenue City, State, Zip: Somerset, New Jersey 08873 2. Date of Event Requiring Statement (Month/Day/Year): 3/6/97 3. IRS or Social Security Number of Reporting Person (Voluntary) 4. Issuer Name and Ticker or Trading Symbol: EMCORE Corporation (EMKR) 5. Relationship of Reporting Person(s) to Issuer (Check all applicable) ( X ) Director ( ) 10% Owner ( x ) Officer (give title below) ( ) Other (specify below) Vice President and Chief Financial Officer 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 * If the form is filed by more than one reporting person, see Instruction 5(b)(v).
TABLE I -- NON-DERIVATIVE SECURITIES BENEFICIALLY OWNED 1. Title of Security 2. Amount of Securities 3. Ownership Form: Direct (D) (Instr. 4) Beneficially Owned or Indirect (I) (Instr. 4) (Instr. 5) (1) Common Stock 62,529 D TABLE I -- CONTINUED 1. Title of Security 4. Nature of Indirect Beneficial Ownership (Instr. 4) (Instr. 5) (1) Common Stock
Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly.
TABLE II -- DERIVATIVE SECURITIES BENEFICIALLY OWNED (E.G., PUTS, CALLS, WARRANTS, OPTIONS, CONVERTIBLE SECURITIES) 1. Title of Derivative 2. Date Exercisable 3. Title and Amount of Securities Security and Expiration Underlying Derivative Security (Instr. 4) Date (Instr. 4) (Month/Day/Year) Date Expiration Amount or Exercisable Date Number Title of Shares (1) Incentive Common Stock Immed. 9/11/05 Common Stock 17,647 Options (right to buy) (2) Common Stock Warrants (right Immed. 5/01/01 Common Stock 23,586 to buy) TABLE II -- CONTINUED 1. Title of Derivative 4. Conversion 5. Ownership 6. Nature of Security or Form Indirect (Instr. 4) Exercise of Derivative Beneficial Price of Security: Ownership Derivative Direct (D) or (Instr. 5) Security Indirect (I) (Instr. 5) (1) Incentive Common Stock $3.03 D Options (right to buy) (2) Common Stock Warrants (right $4.20 D to buy)
Explanation of Responses: /s/ Thomas G. Werthan March 11, 1997 **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. 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.
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