-----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, Scw4/0T8Lo0dfL8wjXAOzuH1Lxj1YN092XN5NzrprOADlhWxvFj3ZdvWjDOPKo1I mxuPaRjzVCTVcEgz+PbPjQ== 0000950127-98-000097.txt : 19980218 0000950127-98-000097.hdr.sgml : 19980218 ACCESSION NUMBER: 0000950127-98-000097 CONFORMED SUBMISSION TYPE: SC 13G PUBLIC DOCUMENT COUNT: 1 FILED AS OF DATE: 19980213 SROS: NASD GROUP MEMBERS: DREYFUS ROBERT LOUIS GROUP MEMBERS: GALLIUM ENTERPRISES INC. 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: SC 13G SEC ACT: SEC FILE NUMBER: 005-50693 FILM NUMBER: 98537657 BUSINESS ADDRESS: STREET 1: 394 ELIZABETH AVENUE CITY: SOMERSET STATE: NJ ZIP: 08873 BUSINESS PHONE: 908271-909 MAIL ADDRESS: STREET 1: 394 ELIZABETH AVE CITY: SOMERSET STATE: NJ ZIP: 08873 FILED BY: COMPANY DATA: COMPANY CONFORMED NAME: DREYFUS ROBERT LOUIS CENTRAL INDEX KEY: 0001035938 STANDARD INDUSTRIAL CLASSIFICATION: [] FILING VALUES: FORM TYPE: SC 13G BUSINESS ADDRESS: STREET 1: C/O JESUP & LAMONT MERCHANT PARTNERS LLC STREET 2: 650 FIFTH AVENUE CITY: NEW YORK STATE: NY ZIP: 10019 BUSINESS PHONE: 2123072670 MAIL ADDRESS: STREET 1: C/O JESUP & LAMONT MERCHANT PARTNERS LLC STREET 2: 650 FIFTH AVENUE CITY: NEW YORK STATE: NY ZIP: 10019 SC 13G 1 SCHEDULE 13G SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 _________________ SCHEDULE 13G INFORMATION STATEMENT PURSUANT TO RULES 13d-1 AND 13d-2(1) (1) The remainder of this cover page shall be filled out for a reporting person's initial filing on this form with respect to the subject class of securities, and for any subsequent amendment containing information which would alter the disclosures provided in a prior cover page. The information required in the remainder of this cover page shall not be deemed to be "filed" for the purpose of Section 18 of the Securities Exchange Act of 1934 or otherwise subject to the liabilities of that section of the Act but shall be subject to all other provisions of the Act (however, see the Notes). EMCORE CORPORATION (Name of issuer) Common Stock, no par value (Title of class of securities) 290846104 (CUSIP number) Check the following box if a fee is being paid with this statement( ). (A fee is not required only if the filing person: (1) has a previous statement on file reporting beneficial ownership of more than five percent of the class of securities described in Item 1; and (2) has filed no amendment subsequent thereto reporting beneficial ownership of five percent or less of such class.) (See Rule 13d-7.) (CONTINUED ON FOLLOWING PAGE(S)) (Page 1 of 6 Pages) - ------------------- ----------------- CUSIP No. 290846104 13G Page 2 of 6 Pages - ------------------- ----------------- - ------------------------------------------------------------------------------ 1 NAME OF REPORTING PERSONS S.S. OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSONS Robert Louis-Dreyfus - ------------------------------------------------------------------------------ 2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (a) (x) (b) ( ) - ------------------------------------------------------------------------------ 3 SEC USE ONLY - ------------------------------------------------------------------------------ 4 CITIZENSHIP OR PLACE OF ORGANIZATION [Switzerland] - ------------------------------------------------------------------------------ NUMBER OF 5 SOLE VOTING POWER SHARES 0 BENEFICIALLY OWNED BY EACH REPORTING PERSON WITH ---------------------------------------------- 6 SHARED VOTING POWER* 1,650,045 ---------------------------------------------- 7 SOLE DISPOSITIVE POWER 0 ---------------------------------------------- 8 SHARED DISPOSITIVE POWER* 1,650,045 - ------------------------------------------------------------------------------ 9 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 1,650,045* - ------------------------------------------------------------------------------ 10 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES ( ) - ------------------------------------------------------------------------------ 11 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW 9 16.9% - ------------------------------------------------------------------------------ 12 TYPE OF REPORTING PERSON IN - ------------------------------------------------------------------------------ * See footnote on page 4. - ------------------- ----------------- CUSIP No. 290846104 13G Page 3 of 6 Pages - ------------------- ----------------- - ------------------------------------------------------------------------------ 1 NAME OF REPORTING PERSONS S.S. OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSONS Gallium Enterprises Inc. - ------------------------------------------------------------------------------ 2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (a) (x) (b) ( ) - ------------------------------------------------------------------------------ 3 SEC USE ONLY - ------------------------------------------------------------------------------ 4 CITIZENSHIP OR PLACE OF ORGANIZATION [New York] - ------------------------------------------------------------------------------ NUMBER OF 5 SOLE VOTING POWER SHARES 1,650,045 BENEFICIALLY OWNED BY EACH REPORTING PERSON WITH ----------------------------------------------- 6 SHARED VOTING POWER 0 ----------------------------------------------- 7 SOLE DISPOSITIVE POWER 1,650,045 ----------------------------------------------- 8 SHARED DISPOSITIVE POWER 0 - ------------------------------------------------------------------------------ 9 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 1,650,045 - ------------------------------------------------------------------------------ 10 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES ( ) - ------------------------------------------------------------------------------ 11 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW 9 16.9% - ------------------------------------------------------------------------------ 12 TYPE OF REPORTING PERSON CO - ------------------------------------------------------------------------------ ITEM 1(A). NAME OF ISSUER: EMCORE Corporation ITEM 1(B). ADDRESS OF ISSUER'S PRINCIPAL EXECUTIVE OFFICES: 394 Elizabeth Avenue Somerset, New Jersey 08873 ITEM 2(A). NAME OF PERSON FILING: This statement is filed on behalf of: (a) Robert Louis-Dreyfus (b) Gallium Enterprises Inc. ITEM 2(B). ADDRESS OF PRINCIPAL BUSINESS OFFICE OR, IF NONE, RESIDENCE: The principal business address of the Reporting Persons is: (a) Robert Louis-Dreyfus: Gallium Enterprises Inc. c/o Harborstone Capital 152 West 57th Street 21st Floor New York, New York 10019 (b) Gallium Enterprises Inc. c/o Harborstone Capital 152 West 57th Street 21st Floor New York, New York 10019 ITEM 2(C). CITIZENSHIP: (a) Robert Louis-Dreyfus: Switzerland (b) Gallium Enterprises, Inc.: British Virgin Islands ITEM 2(D). TITLE OF CLASS OF SECURITIES: Common Stock, no par value. * Consists of 1,217,510 shares and warrants to purchase 432,535 shares held by Gallium Enterprises Inc. Gallium Enterprises Inc. is controlled by Robert Louis-Dreyfus. These shares and warrants were acquired prior to the time that EMCORE Corporation common stock was registered under the Securities and Exchange Act of 1934. (Page 4 of 6 Pages) ITEM 2(E). CUSIP NUMBER: 290846104 ITEM 3. Not applicable. ITEM 4. OWNERSHIP.
====================================================================================================================== Amount Percent Sole Shared Sole Shared Entity Beneficially of Class Voting Voting Dispositive Dispositive Owned Power Power Power Power ====================================================================================================================== Robert 1,650,045(a) 16.9% -0- 1,650,045(a) -0- 1,650,045(a) Louis- Dreyfus ====================================================================================================================== Gallium 1,650,045(a) 16.9% 1,650,045 -0- 1,650,045 -0- Enterprises, Inc. ====================================================================================================================== (a) Consists of 1,217,510 shares and warrants to purchase 432,535 shares held by Gallium Enterprises Inc. Gallium Enterprises Inc. is controlled by Robert Louis-Dreyfus.
ITEM 5. OWNERSHIP OF FIVE PERCENT OR LESS OF A CLASS. Not applicable. ITEM 6. OWNERSHIP OF MORE THAN FIVE PERCENT ON BEHALF OF ANOTHER PERSON. Not applicable. ITEM 7. IDENTIFICATION AND CLASSIFICATION OF THE SUBSIDIARY WHICH ACQUIRED THE SECURITY BEING REPORTED ON BY THE PARENT HOLDING COMPANY. Not applicable. ITEM 8. IDENTIFICATION AND CLASSIFICATION OF MEMBERS OF THE GROUP. Not applicable. ITEM 9. NOTICE OF DISSOLUTION OF GROUP. Not applicable. ITEM 10. CERTIFICATION. Not applicable. (Page 5 of 6 Pages) SIGNATURE After reasonable inquiry and to the best of the knowledge and belief of the undersigned, the undersigned certify that the information set forth in this statement is true, complete and correct. February 10, 1998 Robert Louis-Dreyfus ______________________________ Name: Thomas G. Werthan Title: Attorney-in-fact Gallium Enterprises Inc. ______________________________ Name: Thomas G. Werthan Title: Attorney-in-fact (Page 6 of 6 Pages) -----END PRIVACY-ENHANCED MESSAGE-----